Heidary & Riazi

Mediterranean Center of Social and Educational Research
Mediterranean Journal of Social Sciences

Vol. 3, No. 1, January 2012

Rome, Italy 2012


Editor in Chief
Dr. Andrea Carteny

Executive Director, MCSER
Prof. Antonello Biagini

Editing
Dr. Antonello Battaglia

Editorial Assistant
Dr. Giuseppe Motta
Scientific Coordinator
Prof. Giovanna Motta

Graphic Design
Dr. Gabriele Natalizia

Editorial Managing
Dr. Igor Baglioni

Copyright 2012 MCSER Mediterranean Center of Social and Educational Research

ISSN 2039-9340 (print)
ISSN 2039-2117 (online)


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ISSN: 2039-9340 (print)
ISSN: 2039-2117 (online)

About the Journal

Mediterranean Journal of Social Sciences (MJSS) is a double blind peer-reviewed
journal, published three times a year, by Mediterranean Center of Social and
Educational Research. The journal publishes research papers in the fields of
Mediterranean and World Culture, Sociology, Philosophy, Linguistics, Education,
History, History of Religions, Anthropology, Statistics, Politics, Laws, Psychology
and Economics. MJSS is open for the academic world and research institutes,
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addition to scientific studies, we will also consider letters to the editor, guest
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research freely available to the public supporting a greater global exchange of
knowledge. All manuscripts are subject to a double blind peer review by the
members of the editorial board who are noted experts in the appropriate subject
area.

Editor in Chief, Andrea Carteny
Sapienza University of Rome / University of Teramo, Italy

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Editor in chief Andrea Carteny
Sapienza University of Rome /University of Teramo, Italy

International Editorial Board

Vincent Hoffmann-Martinot,
University of Bordeaux, France
Dimitri A. Sotiropoulos,
University of Athens, Greece
Giuseppe Motta,
Sapienza University of Rome, Italy
Sibylle Heilbrunn,
Ruppin Academic Center, Emek-Hefer, Israel
Marco Cilento,
Werner J. Patzelt,
University of Dresden Germany
Mohamed Ben Aissa,
University of Tunis, Tunisia
Emanuele Santi,
African Development Bank, Tunis, Tunisia
Arda Arikan,
Akdeniz University, Antalya, Turkey
Alessandro Vagnini,
Godfrey Baldacchino,
University of Malta, Malta
Kamaruzaman Jusoff,
Universiti Putra Malaysia
Daniel Pommier Vincelli,
Gabriele Natalizia,
Igor Baglioni,
Tarau Virgiliu Leon,
Babes-Bolyai University, Cluj-Napoca,
Romania
Dorina Orzac,
Babes-Bolyai University, Cluj-Napoca, Romania
Marian Zlotea,
Sapienza University of Rome / Government
Agency, Romania
Petar Jordanoski,
Sapienza University / University of Skopje
Slavko Burzanovic,
University of Montenegro
Martina Bitunjac,
Humboldt University of Berlin, Germany
Aranit Shkurti,
CIRPS Sapienza University / EUT
University, Albania
Francesco Randazzo,
University of Perugia, Italy
Gulap Shahzada,
University of Science and Tecnology, Pakistan
Nanjunda D C,
Universiy of Mysore, Karnataka, India
Nkasiobi S.Oguzor
Federal College of Education(Technical),
Omoku- Nigeria
Shobana Nelasco
Fatima College, Madurai-India
Jacinta A. Opara
Universidad Azteca, Mexico
Fernando A. Ferreira
Polytechnic Institute of Santarem, Portugal
Hassan Danial Aslam
Human Resource Management Research Society,
Pakistan
Asoluka C. Njoku
Alvan Ikoku Federal College of Education,
Owerri-Nigeria
Alice Kagoda
Makerere University, Kampala-Uganda
Addison M. Wokocha
Teachers Registration Council of Nigeria,
Abuja-Nigeria
B.V. Toshev
University of Sofia, Bulgaria
Benedicta Egbo
University of Windsor, Ontario-Canada
Adriana Vizental
University Aurel Vlaicu, Romania
Florica Bodistean
Bassey Ubong
Federal College of Education (Technical),
Omoku-Nigeria
A. C. Nwokocha
Michael Okpara University of Agriculture,
Umudike-Umuahia, Nigeria
S.E. Onuebunwa
Omoku-Nigeria
Femi Quadri
Omoku-Nigeria
Abraham I. Oba
Niger Delta Development Commission, Nigeria

Sodienye A. Abere
Rivers State University of Science and
Technology, Port Harcourt, Nigeria
Luiela-Magdalena Csorba
Eddie Blass
Swinburne University of Technology, Australia
Hanna David
Tel Aviv University, Jerusalem-Israel
Raphael C. Njoku
University of Louisville, USA
Ali Simek
Anadolu University, Turkey
Austin N. Nosike
The Granada Management Institute, Spain
Gerhard Berchtold
Universidad Azteca, Mexico
Samir Mohamed Alredaisy
University of Khartoum, Sudan
Lawrence Ogbo Ugwuanyi
University of Abuja, Abuja-Nigeria
Oby C. Okonkwor
Nnamdi Azikiwe University, Awka-Nigeria
7

TABLE OF CONTENTS

Articles

Risks of the Female Youth to Drugs and Substance Abuse in Makindu Town, Kenya 11
Nelson Jagero, Faith Mbulwa
Primary School Pupils ICT Literacy In Northern Aegean 21
Giavrimis Panagiotis, Ekaterini Nikolarea
Micro Business Financing System and Development of Credit Lines in Albania 33
Albert Qarri, Alba Dumi, Ervin Demo
Impact of Immediate and Delayed Error Correction on EFL Learners Oral Production: CAF 45
Afsaneh Rahimi, Hossein Vahid Dastjerdi
Computer Assisted Language Learning and English Language Teaching
in Thailand: Overview 55
Attapol Khamkhien
Modernism in Late Ottoman Empire and in Early Turkey 65
Ylmaz imek
The New Role of the Nonprofit Sector 77
Bassam Abdullah Albassam
Building Blocks for Raising Healthy and Successful Youth:
A Profile of Development Assets of Youth Living in Tirana City, Albania 89
Livia Nano
Teachers Perception of School-Based Assessment in Nigerian Secondary Schools 99
Alaba Adeyemi Adediwura
A Study of the Relationship Between Iranian EFL Learners Multiple Intelligences
and their Performance on Writing 111
Moussa Ahmadian, Samaneh Hosseini
The Romantic Critical Thinking: Theoretical Incoherence of a Unitary Movement 127
Petru Golban
Examining Cross-Cultural Clues as to Globalization and Iran's Culture in an
International ELT Book Series - American English File 141
Sima Ziaei

8
The Interaction of Lexical and Grammatical Aspects in English as a Foreign
Language for Iranian Farsi Speaking Learners 149
Reza Pishghadam, Sima Ziaei
Engagement and Stance in Academic Writing:
A Study of English and Persian Research Articles 157
Saeed Taki, Fatemeh Jafarpour
Translation Process in Rendering Source Language Spoken Words or Phrases
to Target Language Items: Semantic or Communicative Approach 169
Ali Eskandari, Ehsan Panahbar
Readability of Texts: Human Evaluation Versus Computer Index 177
Pooneh Heydari, A. Mehdi Riazi
The Philosophy of Pluralism in the Neo-Albanians Development Circumstances of the 1930s 191
Isidor Koti
The Cultural Evolution of Roma Population in Romania:
From the Inter-War Period to Ceausescu Dictatorship 201
Eliana Villa
Validity of Self-Reported Height, Weight and Body Mass Index Among Cypriot
Adolescents: Accuracy in Assessing Overweight Status and Weight Overestimation
as Predictor of Disordered Eating Behaviour 209
Hadjigeorgiou Charalampos, Tornaritis Michael, Solea Antonia, Savvas Savva, Kafatos Antonis
Assessing Heterogeneity of Effect Size on Sample Size in a Meta- Analysis
of Validity Studies 219
Adeyemo, Emily .Oluseyi, Adediwura, Alaba Adeyemi
Water Vending in Nigeria - A Case Study of Festac Town, Lagos, Nigeria 229
A. E Olajuyigbe, O.O Rotowa, I.J Adewumi
Community Radio Movement In India Few Aspects Requiring Attention 241
Abhijit Bora, Bala Lakhendra
Political Changes in Albania and Macedonia under European Union Progress 251
Ismail Zeneli, Alba Dumi
Strategic Management of Human Resources in the Health Care System 261
Dimitrios Kanellopoulos
Assessment of E-Banking Services and Legal Framework in Albania 267
Ersida Teliti, Rezarta Mersini
Egungun Tradition in Trado-Modern Society in South-Western Nigeria 283
P.S.O. Aremu, Biodun Banjo. O, Yaya Olanipekun
The Diplomacy of the Great Powers Towards Albania in the Context
of the Adriatic Question 289
Esilda Luku
Strategic Voting at the Romanian 2008 Local Elections 297
Albescu Andrada-Maria
,
Ioni Dana Irina, Mateescu Silviu-Dan

9
An Empirical Ascertainment of the Causes of Building Failure and Collapse in Nigeria 313
Ayedun, C. A, Durodola, O. D., Akinjare, O. A.
Forecasting Demand for Office Spaces in Ikeja, Nigeria 323
Oni Taiwo Olalekan, Bello Musi Oyewole, Oni Ayotunde Olawande
Human Resource Management in the Europian Health System-a Comparative Approach 339
Womens Death as the Triumph in the Patriarchal World of Victorian Imagination 351
Roya Nikandam
The Relationship Between Prior Knowledge and EFL Learners' Listening
Comprehension: Cultural Knowledge in Focus 361
Samira Hayati Samian, Hossein Vahid Dastjerdi
Albania Fiscal Policy: Designing Tax Policy by Given Circumstances 371
Fatbardha Kadiu
An Investigation of the Severity, Causes, Impact and Actions Against
Counterfeiting and Smuggling in Nigeria 379
Omo Aregbeyen
Journalism in the 21
st
Century World Tackling Challenges 393
Abhijit Bora
An Assessment of the Effect of Remuneration on the Construction Performances
of the Professionals in the Nigerian Building Industry 401
J.A.B. Awolesi, C.A. Ayedun

Beneficial Application of Facilities Management In Hotel
Organizations in South-Western Nigeria 413
Olufemi Daniel Durodola, Caleb Abiodun Ayedun, Akinjare Omolade Adedoyin
Effects of Animated Agricultural Science Instructional Package on Attitude and
Performance of Junior Secondary School Students in South West Area, Nigeria 425
Bada Tayo Abass, Adekomi Bimbo, Ojo O. A.
Factors Influencing Marital Stability 437
Maciver, J.E., Dimkpa, D.I.
Challenges of Domestic Water Consumption in Bhahumono
Communities of Abi Local Government Area, Nigeria 443
Otu, Judith E., Eja, Eja I. Agbor, Emmanuel A., Inyang, Ita O.
Philosophical Hermeneutics: A Path to Intercultural Understanding Through Translation 453
Ehsan Panahbar, Azizollah Dabaghi
The Women and Modern Society in Sex and the City: A Sociological Approach 461
Kalie Kerpaci, Denata Hoxha, Martin Kuka
Framing of Drone Attacks in Pakistani Elite Press:
A Comparative Study of Dawn and the Nation 471
Sajjad Ahmed Paracha, Fatima Imran, Muhammad Ashraf Khan

10
Floating World: Re-imagining Rhizomatic Identities in Jhumpa Lahiris The Namesake 483
Najmeh Nouri
Age at First Marriage in Recent Years Vietnam 491
Nguyen Thanh Binh
Parental Background Variables and the Career Choice of Secondary
School Students in Uyo Local Government Area, Nigeria 497
Udoh, Nsisong Anthony, Sanni, Kudirat Bimbo
The Rate of Women Having a Third Child and Preference
of Son in Present Day Vietnamese Families 505
Nguyen Thanh Binh
Foreign Direct Investments and Individual Income in Central Africa 513
Ibrahim Ngouhouo, Khaled el-Mawazini
Electoral Systems in Albania as a Result of Political Wills 529
Blendi eka
Libyan War: A Just or Sinful Intervention 535
Bakare Najimdeen
Performance of Intra-EU reforms in Central Africa: Empirical Verification 547
Ibrahim Ngouhouo, Alice Kos A Mougnol
Enhancing Employees Collaboration Through Trust in Organizations:
(An Emerging Challenge in Human Resource Management) 559
Amber Tariq, Hassan Danial Aslam, Muhammad Badar Habib, Anam Siddique, Mannan Khan
Exploring Organizational Citizenship Behavior and its Critical Link to Employee
Engagement for Effectual Human Resource Management in Organizations 567
Narmeen Mansoor, Hassan Danial Aslam, Tasawar Javad, Fawad Ashraf, Farooq Shabbir
Work-Life Balance as a Best Practice Model of Human Resource Management:
A Win-Win Situational Tool for the Employees and Organizations 577
Amber Tariq, Hassan Danial Aslam, Anam Siddique, Asif Tanveer

Book Review

Two Top-Down Approaches of the Public Policy: Similarities, Differences and
Ethics of the Bardachs and Kingdons Perspectives of Policy Process 587
Ylmaz imek

ISSN20399340MediterraneanJournalofSocialSciencesVol.3(1)January2011
11

Risks of the Female Youth to Drugs and Substance Abuse
in Makindu Town, Kenya

Nelson Jagero

Kampala International University Dar es Salaam College, Tanzania
Email: jagero66@yahoo.com, Mobile Number: +255 713 696 591; +254 720 686 921

Faith Mbulwa

Kampala International University Dar es Salaam College, Tanzania
Email: lynnsayat@gmail.com Mobile Number: +255 652 082 999; +254 728 443 855

Doi: 10.5901/mjss.2012.03.01.11

Abstract This study paid particular attention to investigating the nature and magnitude of risks exposed to the female youth
abusing drugs in Makindu town Kenya. Consequently, this exploratory study had the following objectives: to identify and classify
the type of risks experienced by female youth exposed to drug and substance use. The research design used in the study was
case study design. Using snow ball sampling technique. 29 respondents were sampled for the study. The data was collected by
use of unstructured interviews designed for female youth abusing drug and substance, focus group discussion guides for female
youth whose partners abused drugs, key informant for key informants, participant observation and where possible an
observation checklist. According to the finding of the study, it was evident that: Biological risks included: lung complications,
HIV/Aids, poor duty performance, falling , chipping and staining of teeth etc, social risks included; neglect of children, fighting
with spouse and others, influencing children to abuse sleeping pills etc, and psychological: loss of memory, mental illness,
anorexia etc were cited to be some of the risks the female youth experienced after abusing drugs and substance.

Keywords: Drugs and substance abuse, female youth, risks and disasters.

1. Introduction

According to United Nations Organization for Drug Control (2005), in the recent times, the cases of risks
related to drug and substance abuse have increased the risks situations which include many negative
physiological health effects, ranging from minor issues like digestion problems or respiratory infections, to
potentially fatal diseases, like AIDS and hepatitis C. The effects depend on the drug and on the amount,
method and frequency of use. Some drugs are very addictive, like heroin, while others are less addictive. But
the upshot is that regular drug abuse or sustained exposure to a drug - even for a short period of time - can
cause physiological dependence, which means that when the person stops taking drugs, he/she experiences
physical withdrawal symptoms and a craving for the drug.
Drug abuse also causes brain damage. Depending on the drug, the strength and character of this
damage varies. Drug abuse affects the way the brain functions and alters its responses to the world. How
drug abuse will affect ones behaviour, actions, feelings and motivations is unpredictable. By meddling in the
natural ways the brain functions, abusers expose themselves to risks they may not even have imagined.
Drug abuse damages the ability of people to act as free and conscious beings, capable of taking action to
fulfill their needs. How free drug abusers are when they have no control over their actions or reactions is
debatable. What is indisputable is that by giving in to bio-chemical processes that are deviant, a drug abuser
loses what makes humans admirable and unique. Illicit drugs, whenever they are produced or used
contaminate and corrupt, weakening the very fabric of society. Increasing worldwide abuse is destroying
uncounted useful lives.
Drug abuse in the work place leads to lowered productivity, defective products, accidents, loss of
12
qualified employees and loss of income. Drug abuse by workers in sensitive occupations like those in the
military, airline, pilots and air traffic controllers for example can result in disaster.
Women are disproportionately affected by disasters, as a result of gender inequalities. Women have high
death rates in disasters, as they often do not receive warnings or other information about hazards and risks.
Their mobility may be restricted or affected due to cultural and social constraints (United Nations
Organization for Drug Control 2002).
Taking female youth in Makindu Town as the object of interest, this research seeks to identify some of
the risks that youth in Kenya are exposed when they abuse drugs and substance

2. Study Objective

The goal of this study is to investigate the risks that female youth are exposed when they abuse drug and
substance; to identify and classify the types of risks found among female youth exposed to drugs and
substance.

3. Literature Review

3.1 Categories of Drug Related Risks and Disasters

Drug abuse has psychological, biological and social consequences. The psychological and biological
consequences affect an individual and the social consequences affect both an individual and the society.
(Fries (2003), Substance abuse has direct impact on education, vocational training and family life and it is
linked to child battering and lack of safety in general. It impacts on health for example according to Fries
(2003); young people are more vulnerable to the adverse reactions associated with cannabis use. Evidence
shows that young and adolescent cannabis users are particularly in danger of becoming depressed and
suicidal and to become involved in delinquency and crime. They are also more susceptible to developing
schizophrenia. According to United Nations Organization for Drug Control (2001), Neal (1998), trafficking in
and abuse of narcotic drugs and psychotropic substances are increasingly being linked to the various civil
conflicts in Africa. The ongoing conflicts and post conflict situations that prevail in several African countries
are conducive to increasing drug problems among children and youth in particular.
According to Pernanen (1991), drunken driving and its consequences form one of the major clusters in
the determination of attitudes towards alcohol use. The population at risk of becoming victims of impaired
driving is even largely independent of any selective criteria of morality or responsibility. No factors that would
lessen the perceived loss and injustice to the victims or their intimates can be applied, since a significant
moral blame or technical faults cannot be assigned to the victims. The non selective nature of risk makes it
easy to identify with those involved in drinking and driving, both as potential victims and to some extent as
potential culprits. Permanen (1991) further argues that offenders in robberies that led to homicides had been
drinking and victims of robbery murders had been drinking too a situation he calls total alcohol involvement.
The largely unheeded spread of injection drug use in East Africa has wide implications for public health
in the region. Injection drug users (IDU) are a 'high risk' or 'core group' for HIV infection. There are two main
possible associations; people under the influence of drugs may lose inhibition leading them to indulge in risky
sexual behaviour that exposes them to HIV/Aids. Secondly, people on Intravenous Drug Abuse -IDU- will
expose themselves to HIV/Aids through direct blood to blood transmission. From the IDUs surveyed in Kenya
by Ndetei (2004), at least 68 - 88% are HIV positive. The major concern is that emerging IDU trend in a
situation of high HIV prevalence is a recipe for disaster, (Beckerleg et al, 2005; Ndetei, 2004).
According to Mora (2001), females that do not drink alcohol are also affected in their social role of
mothers or wives of alcohol addicts which include violence and increased burden in their role as providers.
The extent to which substance abuse affects women should be addressed urgently because of its far
13
reaching implications, (WHO 1993).

3.2 The Impact of Female Drug and Substance Abuse Related Risks on the Society

Few can simply visualize a young drug dependent woman who is seriously ill and in need of medical attention
and emotional support. Even when such realities are intellectually understood, they are no match for the
often violent feelings that are aroused: anger, revulsion, anxiety and a sense of betrayal. It is felt that she has
trespassed on territory beyond her proper sphere, that she has degraded herself in a particular odious, even
unnatural manner.
Women are important in our society. Every woman has her own job or duty in this modern society in
which men are still the 'strongest gender'; womens life is a lot more complicated, she has to take care of her
own personal life and if she is a mother, she has to take care also about her childrens life too. Mothers who
use drugs are statistically more likely to have infants with low birth weight, small head size or microcephaly,
and other adverse outcomes, since, many drugs cross the placenta to some degree. A smaller head size or
microcephaly in newborns is thought to reflect a smaller brain. This therefore implies that the infant is likely to
experience developmental and learning problems as they get older as compared to normally grown infants
with normal head size. By influencing the mothers physical or emotional function, these substances may also
affect the foetus indirectly, (Zuckerman 1991). This therefore means that since most female youth are at their
reproductive prime age, if and when they abuse drug and substance it means that the coming generation will
be of slow thinkers who will be able to develop their community adequately.

4. Methodology

4.1 Research Design

The study applied a case study design. This involved a case on the risks exposed to female youth abusing
drugs and substance abuse in Makindu town. Research design was the program that guided the investigator
as she collected analyzed and interpreted observations. It was the logical proof that allowed the researcher to
draw inferences concerning causal relations among variables that had been investigated.

4.2 Site Selection and Description

The study was carried out in Makindu town. Makindu town was selected purposively since no study risks to
drugs had been carried out. The town was located 200km from Nairobi and 250km from Mombasa. It was
long Mombasa Nairobi highway. It had a population projection for 2008 of 11,160 people, 3906 being female
youth. There were 1860 households with an average of 6 heads, (Kibwezi District Development Plan 2008-
2012, 2009).
Those classified as poor experience absolute poverty and food poverty. The poverty level stands at
34% contributing to 3.8% of the National Poverty level. The food poverty level is at 57.2%. The causes are
attributed to circumstances such as unreliable, inadequate and erratic rainfall, lack of clean drinking water
leading to increased cases of water borne diseases (typhoid, amoebic dysentery etc), reduced productivity,
increased cost of medication, high rates of unemployment- both formal and informal leading to increased
number of idlers and dependency, lack of credit facilities hence limiting investments, poor marketing system,
unavailability and high prices of farm inputs, poor agricultural practices, sparse location of health facilities,
absence of rural-micro industries, poor road network and lack of rural electrification to steer and bolster local
industries such as the Jua Kali, (Kibwezi District Development Plan 2008-2012, 2009).

14
4.3 Sampling

The sampling frame for this study was generated from the occurrence register at Makindu Town Police Post,
Makindu Town Location Chiefs Complaints Records, Central Register at the Probation Department (Makindu
District), Criminal Records at the Law Courts and Non Governmental Organizations (NGOs) dealing with
youth and drug related issues.
Snow ball sampling was used to select 29 female youth abusing drugs and substance, selected from
the sampling frame obtained and 10 key informants dealing directly with female youth abusing drugs and
substance.
The criteria for participants to be selected for the study will include the following:
a) Female youth arrested in relation to drug related crimes whose records exists in the Makindu police
post or the chiefs complaints records.
b) Female youth serving on probation or Community Service Order (CSO) for drug and substance abuse
related crimes.
c) Female youth living with partners who abuse drug and substance abuse, from records obtained of
male youth at Makindu Police Post, Makindu Town Location Complaints register or the probation and
CSO Record.
d) Key informants who deal with female youth abusing drugs and substance The Probation Officers,
The Police, The Provincial Administration, Youth Officers and relevant Non Governmental
Organizations.
e) The households around drug selling dens and bars
f) Female youth in the streets.

4.4 Sources of Data

The study applied observing and interviewing as the principal data collection techniques. This was driven by
the need to encourage greater interaction between the researchers and target respondents, eliciting hostistic
information and attitudes (Walliman, 2005). Five sources of data were identified. They included:
documentation, archival records, interviews, direct observations and case studies. This study obtained
secondary data from archival records and documentation. The archival records will include: service records
such as those showing the number of clients served over a given period of time; and telephone listings. The
documentation will include: administrative documents- proposals, progress reports and other internal
documents.

4.5 Methods and Tools of Data Collection

In this study the data collection methods will included: participant observation the tool used was an
observation checklist. The researcher spent an afternoon with the respondents observing their activities. She
was taken to places where drugs and substance was sold but was not allowed to take pictures. In the oral
interview method, the tool to be used was a semi-structured questionnaire. Semi structured questionnaire. It
was not possible to interview more than twenty nine (29) respondents because of the time the researcher
needed to spend with the respondents. Adequacy of information by the time the researcher interviewed the
29
th
informant there was no new information emerging. In other words the researcher had reached a
saturation point (Strauss and Korbin, 1998). Ten key informants were interviewed. The researcher employed
key informant guide, a tool used in social inquiry, gathering detailed information and opinion based on key
informants own knowledge of a particular issue.

15
4.6 Data analysis

This study employed qualitative data analysis general strategy developing a case description. In this analysis
the data collected was sorted, categorized and tabulated. In this case study research collected data on the
number of female youth depended on drugs and substance, all kinds of risks and hazards they had been
vulnerable to. The data analysis categorize: the cause, extent, of the disaster risks involved the response and
mitigation measures in place.

5. Findings

5.1 Demographic Information

This study interviewed 29 female youth of ages between 15 and 30 years. The substance abusers were
found to be more between ages 25 to 30 years. This constituted 62.07% of all substance users interviewed.
Those who were between ages 15 to 18 years only formed 3.45% and 19-24 years constituted 34.48% of
constituted 34.48% of the sample size. The mean age of substance abuser at Makindu town is at 26.

Table 1. Age of the respondents.

Age Frequency Percent
15-18 1 3.45%
19-24 10 34.48%
25-30 18 62.07%
Total 29 100.00%

Since the issue of female youth drug and substance abuse was very sensitive in Makindu town, from the
table 1 it was deduced that female youth who were below 18 years did not want to be known as abusers.
Some thought that that their parents would be informed of their abuse. The fact that there was only one
respondent does not mean that the numbers of abusers is small at that age set. The youth older than 25
years had developed a dont care attitude and did not worry much about who would know that they were
abusers.

5.2. Occupation Status

Respondents were also asked to state what they did apart from using the substances. The collated data
presented in table 2 indicated that 10, (34.50%) of the respondents were unemployed. Another 8, (27.60%)
were involved in small business. A total of 7, (24.10%) were casual labourers. The high level of
unemployment in Kenya was clearly manifested in this sample as none of them was advantaged to be in full
employment. This left the question begging that Could it be the high poverty levels that had driven these
respondents to substance intake or there are other reasons?

Table 2. Employment status of respondents

Employment status Number of respondents Percentage
Unemployed 10 34.50
Business lady 8 27.60
Casual labourer 7 24.10
Farmer 1 3.45
16
Tailor 1 3.45
Commercial sex worker 1 3.45
Student 1 3.45
Total 29 100.00

5.3. Drug and Substance Abuse in Makindu Town

All the respondents interviewed hadnt been involved in substance abuse and most of them still did. Only a
few had stopped. Table 3 shows some of the substances abused by respondents and the level of abuse of
the drug/substance as compared to other also listed. Khat was the most abused then followed by alcohol.
Bhang and cigarettes were not as much abused but it is important to note that it is illegal in Kenya for one to
smoke bhang. A figure of 18% usage was therefore quite alarming. The addition that most of these
respondents mentioned meant so much needed to be done if the situation was to be reversed. The social
deterioration at the town threatened everyones livelihood if not checked.

Table 3. Drug and substance abuse

Drug/ substance No of respondents using Percentage
Khat 10 33
Alcohol 9 32
Bhang 6 18
Cigarette 5 17
Total 29 100

5.4. The Classification of the Type of Risks Among Female Youth Exposed to Drug and Substance Use.

From the table 4 below it was evidenced that the female youth in Makindu town were still enjoying the effects
of drugs and substance abuse. 31.05% of the response given on the risks involved with drug and substance
abuse was on hyperactivity, 13.79% was insulting other. According to the respondents when high they could
abuse those that had wronged them without fear.

Table 4. Risks involved in drug and substance abuse in Makindu town.

Frequency Percent
Has children who should be seeing her as a
role model
2 6.90%
Lacks sleep 2 6.90%
Hyperactivity 9 31.05%
Insults/fights others 4 13.79%
Misuse of funds 3 10.34%
Poor reasoning capacity 2 6.90%
Develops medical complications- anorexia,
ulcers and stomach ache
3 10.34%
Hallucinations 1 3.45%
Encourages stealing 1 3.45%
Stains relationship with spouse 1 3.45%
Risks
involved
Gets arrested by the police 1 3.45%
Total 29 100.00%

17
5.5 Hyperactivity

The female who responded concerning the effects said that:
The fact that an individual admitted to work hard after abusing drugs and substance raised a lot of concern. It
was argued that such an individual was low motivated. If and when she did not abuse drugs and substance
would not work, had adverse effects on self and community as a whole. An individual who did not work
unless high was in no position to cater for her basic needs and if she had children could not provide for them.
Since she was not motivated to work unless high. She would indulge in criminal activities to get money to buy
the drug or substance that would make her motivate to work therefore getting a bigger sum of money. It was
therefore imperative that that those who abuse drug and substance could commit petty theft or sell their
property to get some money to motivate them to work. The fact that one worked unusually hard even if it was
at night raised a lot of concern especially of issues related to security. When one was awake while others
were asleep and under influence, one was vulnerable to all sorts of criminal activities which could include
being raped or participating in a stealing gang. It also affected ones social networking ability because she
would be considered a pervert who did not follow the communitys normal working patterns.

5.6 Insulting and Fighting with Other

It was inferred from this statement that those that abused alcohol used it as escapism where they can say
things that they normally wouldnt when sober. When one abused drugs and substance to assault others,
there was a likelihood she may end up injured. Most people who went insulting others ended up either being
beaten up or losing their self esteem in the community. The female youth who were known to abuse others
when high were isolated by the community since no one wasted to be associated with someone who could
shame when drunk. Such kinds of people were also arrested by the law enforcers arraigned in court and
charged fines. Such results left the female youth strained financially and lost time that would have been used
to generate an income for them.

5.7 Effects on Significant Others

From this statement those that abused drugs and substance also influenced their children to abuse and
getting depended on drugs too. Children who got depended on sleeping pills slept with difficulty unless they
ingested them. The female youth who let their children abuse drug and substance sometimes left their
children in the houses alone unguarded. There was a case of a child that died after being given sleeping pills
by a mother who was high.
The key informants asserted that the major risks as a result of drug and substance use was exposure
to infectious diseases as a result of poor decisions made when one is high. The female youths biggest fear
had shifted form contracting HIV/Aids to getting pregnancy since the HIV/Aids was no longer a death
sentence.
A very dangerous slogan the youth in Makindu had adopted. This meant that they were no longer
concern about their well being as well as that of the community they lived in. when they had unprotected sex
all the time it meant that there were chances of contracting HIV/Aids virus and other STIs or increasing their
viral load if they had already contracted HIV/Aids virus. The chances of survival by the female youth on
antiretroviral medication was minimised since their white blood cells were overworked because of the re-
infections. This had adverse effects on the society in that many families were affected: where many children
had been orphaned leading to development of orphanages in Makindu town such as Makindu Childrens
Centre (MCC), Church on the Rock \Childrens Home. MCC was established in the year 2001 and had 300
Orphans and Vulnerable Children (OVCs) a number which had been increasing. The increase of OVCs in the
town was as a result of prostitution along Mombasa road.
18
Drug and substance abuse had also led to overburdening of health care giving centres. Loss of self
esteem by those who abused, teenage pregnancies, abortions, school strikes e.g. Makindu High School
students burnt their dormitory, accidents had happened where individuals had been injured, slow
development of the town because people were wasting their resourceful time using drugs. The health care
givers interviewed said that they had received cases of female youth with liver complications but they had
never associated it with drug and substance abuse. The female youth interviewed could not classify the risks
they experienced when they abused drugs and substance.

5.8 Classification of the Risks Experienced

The researcher classified all the risks identified by the respondent according to Fries (2003), as follows:
Biological: lung complications, HIV/Aids and STI infections, poor duty performance, falling, chipping and
stating of teeth, hyperactivity, stained nails and fingers, injuries from fight with spouse and others.
Psychological: schizophrenia, depression, mood swings, urination in bed, loss of memory, inability to make
sound decisions, anorexia and lack of appetite, low morale and insomnia.
Social: prostitution, neglect of children, fighting with the spouse and others, accidents, influencing children to
abuse sleeping pills, loss of money meant for acquisition of property, isolation by the community and stealing.

6. Summary of the Study

The study also established that three types of risks were experienced i.e. biological, psychological and social
by the female youth who abused drugs and substance although majority was still enjoying the effects of
abuse (table 4). The most experienced risk was hyperactivity. The other risks included insomnia, neglecting
of children, biological complications such as stomach ache, and ulcers, hallucinations, straining of relations
with the spouse, arrests by the police, stealing, poor reasoning capacity etc. the extent to which the female
youth in Makindu were vulnerable to drug and substance abuse was high and increasing. The risks which the
female youth were exposed to were classified according to Fries (2003), i.e. biological consequences which
included: HIV/Aids and STIs, poor duty performance, falling, clipping and staining of teeth, hyperactivity,
stained nails and fingers and injuries from fights. Psychological consequences included: mental illness such
as schizophrenia, depression, mood swings, urinating in bed, loss of memory, in ability to make decisions,
anorexia, lack of appetite, low morale and insomnia. The social consequences included: prostitution, neglect
of children, fighting with the spouse and others, influencing children to abuse sleeping pills, loss of money
meant for acquisition of property, isolation by the community and stealing. The most mentioned was
hyperactivity. According to the youth the risk was positive. Most of them being casual labourers they were
able to perform more chores in a short period of time. The study established that majority of the female youth
had not experienced life threatening risks and that they were still enjoying its effects.
The other finding was on establishing remedial strategies that were put in place in the society for the
youth to cope with risks related to drug and substance abuse. From the respondents it was clear that female
youth who abused drugs and substance had signed a death certificate. This was because those that had
developed dependency had but to continue abusing the drugs and substance even when they adverse risks.
There were no rehabilitation centers in Makindu. Majority of the female you did not know of existing
rehabilitation centers, when it was mentioned to them they purported that they could not afford fares there let
alone the rehabilitations fees.

7. Recommendations

The study makes the following recommendations to decrease drug and substance abuse in Makindu.
1. Intense advocacy campaign against drug and substance abuse.
19
2. Establishment of youth empowerment centers where youth can spend their leisure time constructively.
3. Creation of a volunteer scheme where youth could gain on job training.
4. Campaign towards attitude change on employment.
5. Initiation of youth entrepreneurship clinics where youth can be mentored on viable business ideas.

References

Beckerleg,S,, Telferand, M, & Hundt, L.G. (2005). The Rise of Infecting Drug Use in East Africa: Case Study from Kenya Harm
Reduction Journal.
Fries B. (2003). Is Cannabis a Harmless drug? Stockholm, Swedish National Drug Policy Coordinator.
www.mobilisera.nu/upload/dok_cannabis.pdf 12th November 2008 12.50Hrs.
Ministry of State for Planning, National Development and Vision 2030 (2009) Kibwezi District Development Plan. Nairobi: Ministry of
State for Planning, National Development and Vision 2030
Mora E. M (2001). Women and Alcohol in Developing Countries. Salud Mental Vol 24 No. 2
Ndetei D.M. (2004). A study of linkages between Drug Abuse, Injecting Drugs Use and HIV/Aids in Kenya: A Rapid Situation
Assessment. United Nations Organization for Drug Control
Neal R (1998) Merchants of Death Target Africa: Countries used as Springboards for International Drug Trafficking African Recovery
Vol. 12 No. 1
Pernanen, K. (1991). Alcohol in Human Violence. New York: Guilford press.
Strauss A., Korbin J. (1998). Basics of Qualitative research: Techniques and procedures for developing grounded theory, 2
nd
Ed. New
Delhi: Sage Publication
United Nations Organization for Drug Control. (2005). Youths and Drug abuse. The Commission on Narcotic Drugs, United Nations
Organization for Drug Control.
United Nations Organization for Drug Control. (2001). Drug Demand Reduction: World situation with regard to drug abuse, in particular
among children and youth. Vienna: United Nations Economic and Social Council forty- fourth session.
United Nations Organization for Drug Control. (2002). Drug Demand Reduction: World situation with regard to drug abuse, in particular
the spread of Human immunodeficiency Virus/ Acquired immunodeficiency Syndrome (HIV/Aids) through drug injection. Vienna:
United Nations Economic and Social Council, forty- fifth session.
WHO. (1993). Programme on Substance Abuse: Women and Substance Abuse 1993 Country Assessment Report. New York: World
Health Organization.
Walliman, N. (2005). Your Research Project: A step guide for the first time Researcher. 2
nd
Edition. London: Sage Publication.
Zuckerman, B. (Spring, 1991). Drug-Exposed Infants: Understanding the Medical Risk. The Future of Children, Vol. 1, No. 1, Drug
Exposed Infants, pp. 26-35 Princeton University

21

Primary School Pupils ICT Literacy in Northern Aegean

Giavrimis Panagiotis

Department of Sociology
University of the Aegean, Greece, Pamfilis 17, 81100 Mytilene, Greece
Corresponding author: Tel: 030-22510 36554 Email: giavrimis@soc.aegean.gr

Ekaterini Nikolarea

Department of Geography
University of the Aegean, Greece, University Hill, 81100 Mytilene, Greece
Tel: 030-22510 36438 Email: anikolarea@geo.aegean.gr

Doi: 10.5901/mjss.2012.03.01.21

Abstract The present research is part of the outcomes of a wider research that explores the ICT [Information Communication
Technology] applications to Greek Public Primary Schools and their impact on teaching, learning and cognitive processes as
well as on pupils behavioural adaptation, according to Primary Education Teachers opinions and the Pupils of the 5
th
and 6
th

Grades of Greek Public Regular and Day-long Primary School (DLPS). The research sample consisted of 316 pupils, of the 5
th

and 6
th
Grades of (Public) Primary Schools in Northern Aegean. Of the pupils, 153 (48.4%) were boys and 163 (51.6%) were
girls. In the outcomes, it is discussed about pupils opinions on the degree of their acquisition of basic ICT skills, as mentioned in
the Greek Primary School Curriculum.

Keywords: ICT, Day-long School, ICT literacy.

1. Introduction

In a globalised society, ICT plays a dominant role and influences both the developed and the developing
countries alike, something that is conspicuous from the UN (United Nations) data (P.N.U.D., 2001) and from
the data referring to the exports of high technology products of these countries (World Bank, 2009). In the
work place, not only in the IT [Information Technology] sector but also in all other sectors, we see emerging
new scientific and technological specialities that require knowledge of New Technologies.
Rapid technological and scientific developments, especially in ICT, and their repercussions in all scientific
and economic sectors require and will require not only the activation of a persons cognitive and creative
powers in the future but also of all his/her psycho-social skills of dynamic survival, so that the person will be
able to function in more complex, advanced (both from symbolic and practical view), open, altered and
unpredictable environments.
The above-mentioned situations generate new data in education and force the traditional school to
change its role so it may respond to peoples new needs and the new demands of the post-modern society.
Research data reveal that a person should acquire both symbolic languages and the knowledge of how to
interpret formed data and make critical analysis of digital information (Giavrimis et al., 2009). In our post-
modern society, both the models of educational and learning behaviours and those of organisation of
production and work should be changed. The way of how knowledge itself is constructed should to be
changed; it should get away from formalism and be directed to the active cognitive participation of subjects
themselves through their interaction with their social environment (as Piaget and Papert claim), taking into
consideration the multicultural and biographical culture of school units (Kapsalis, 2006).
Eventually, pupils contact with ICT should also ensure that the pupils acquire the desired digital literacy
in addition to traditional literacies (i.e. linguistic and numerical). The development of digital literacy is defined
22
as: The ability to use information and communication technology (ICT) proficiently, and as Technology
which provides for the electronic input, storage, retrieval, processing, transmission and dissemination of
information (Tissot, 2004: 58 and 78 respectively). Should we expand the preceding definitions, we could
add that we should consider a persons attitudes toward ICT, as to whether s/he uses it effectively and
without phobic hang-ups. Nowadays, digital literacy - that is, the acquisition of skills in searching, assessing,
organising and using (digital) information - determines decisively the future of a society like ours, and the
course of pupils learning and development; it also determines pupils background of learning, cognitive,
mental and social development and mobility as well as their advanced discursive ability.
Research data show that ICT can enhance pupils performance in school subjects. Thus, research data
illustrate an increase in pupils (school) performance and motivation while using ICT in language classes,
physics and technologies (Cox et al., 2003; Ofsted, 2004; Rumpagaporn & Darmawan, 2007). Although there
are several major findings supporting the benefits that ICT integration offers to schools, researches raise
questions about the extent and depth of changes that occur (Kozma, 2003) and the integration of ICT in
education (Komis, 2006). Schools investing in ICT achieve much better outcomes than their counterparts with
insufficient digital background and technical infrastructure (Ramboll Management, 2006). It should be noted
however the use of ICT in the educational system is effective when the educational personnel is flexible and
experienced (Machin et al., 2007).
Moreover, the increasing technological advancement and the use of its various forms (DfES, 2003;
Kozma, 2008), the increasing demand for young peoples education and training in ICT and the Declaration
in Lisbon Summit (Ioakimidis, 2008) whose objective was that Europe should be competitive and mobilised
by knowledge the strategic orientation towards an Information Society have become more intense,
revealing the importance of acquisition and use of digital skills in and through the educational system.
However, this necessity of (digital) literacy, according to Papert (1996), is also a point of criticism, as it can
create conditions of social exclusion either directly or indirectly for low socio-economic classes.

2. The Greek Context

2.1 Introduction of ICT to the Greek Public Regular Primary Schools

IT teaching in Greek public regular primary schools began in 1985 in a rather fragmentary way. Those efforts
were based on some pilot projects implemented in some secondary schools (or Gymnasiums or Junior High
schools) (Michailidis, 1989). In 2002, the Pedagogical Institute (PI) organised the Inter-thematic Integrated
Framework of Study Programmes (DEPPS in Greek), introducing an inter-thematic approach to knowledge.
That innovative effort re-adjusted teaching objectives and methods, structuring at the same time the content
of the taught self-contained subjects, since it was based on a balanced horizontal and vertical distribution of
teaching material. In this way, the interconnectedness among different subjects has been promoted through
appropriate expansions of teaching themes and the overall general analysis of basic concepts, thus making
inter-thematic approach to knowledge be projected on school practice, a process that enhances general
education (YPEPTH, 2002, 2003).
In Compulsory Education, IT is taught as a subject in secondary schools and is introduced - with the
present Greek Primary School Curriculum - to Primary School, following the holistic model, according to
which objectives are achieved and implemented by diffusing IT in different subjects. In the Curriculum, which
has been implemented in the Greek Primary School, it is mentioned that the aim of teaching New
Technologies (henceforth ICT teaching) in Primary School is to familiarise the pupils with the basic computer
operations, make them develop skills of critical thinking, ethics, social behaviour and help them adapt actively
and creatively at individual and group level (school adjustment). The special aim of introducing ICT to the
Primary School is to familiarise male and female pupils with the basic computer operations and give them the
opportunity to be in contact with its different uses as a visual means of teaching, a cognitive-explorative tool
23
as well as a tool of communication and search for information within the framework of everyday school
activities with the use of an appropriate software program and, more particularly, of an open software
program of explorative learning (YPEPTH, 2003).
Nevertheless, in the Regular primary school teachers cannot use the holistic model because it is
difficult for them to use ICT laboratories due to the lack of their own training, the aging of equipments, non-
availability of suitable software, the difficulty with linking with the Internet and a not very good ratio of pupils
students per machine (Grigoriadou et al., 2003; Koulaidis, 2006).
Moreover, Greek teachers training in ICT - who are to apply it to the Primary Education - either is
insufficient (in the present context, we are referring to Primary Education teachers), or the future Primary
Education teachers are not trained in their Undergraduate Studies Programme (at the Greek Universities) as
how to approach the new pedagogical and teaching theories (in the present context, we are referring to IT
teachers) (Kynigos et al., 2000; Tzimopoulos, 2003).

2.2. IT Introduction to the Greek Public DLPS

The main use of ICT occurs in the Greek Public DLPS, which runs from when the Regular school ends until
16:00 late afternoon. Pupils attend the DLPS

voluntarily. All participating pupils are placed in the same
classroom. There are no separate classes, whereas the pupils are separated in different sections only if their
number exceeds 60. Two main goals of the Greek Public DLPS

are pupils autonomous and responsible work
and their preparation for next-days classes under a teachers guidance. During the school year 2010-2011,
800 new DLPS

will be operating, where the compulsory programme (i.e. the Regular school) will start at 8:10
and finish at 14:00. Then, the pupils who are registered in the DLPS

will remain at school up to 15:30 or
16:15, depending on the pupils learning needs.
During the period that the research took place there was no autonomous IT subject in the Regular
Primary School. From the school year 2010-2011 the MELLRA (Ministry of Education, Lifelong Learning and
Religious Affairs) will integrate IT as an autonomous subject in the regular primary school programme. Of
course, it is always possible for ICT to be used as a supporting learning tool, something that confronts many
obstacles [e.g. high workload, low technical and administrative support, low self-esteem, etc. (Guha, 2000;
Pelgrum, 2001; Slaouti & Barton, 2007).
Nevertheless, ICT is difficult to get integrated in the teaching of other subjects despite the fact that
the Primary School Curriculum provides for this integration due to the lack of material and technical
infrastructure. There is lack of PCs, classrooms and suitable practical guidebooks, since suitable teaching
material - such as books, teachers book, workbooks - has yet to develop, with the only exception of a
software program that has already been developed (Giavrimis and Papanis, 2007). In Greece the use of ICT
in the classroom is about 20%, a percentage much lower than the average in the EU (61%) (European
Commission, 2006). According to the data of KEE [KEE in Greek: Centre of Educational Research]
(Koulaidis, 2006), in the school year of 2003-04 the average percentage of school units that had PCs was
85.6% of the total of the schools in the country, of which 79.2% was that of primary schools. The ratio of
pupils per PC was 23.7% in the primary schools, The average percentage of the PCs being linked with the
Internet amounted in 67.1%, while the percentage of the PCs connected with a local network was 60.1%,
with relative differences in the size among the educational levels (Koulaidis, 2006). Furthermore, 53% of the
pupils/students claimed that they had a PC at home, which they use for their homework, whereas 36% stated
that they were linked with the Internet at home.
In a report of the Eurydice Network (2005), it is mentioned that almost all 15-year old adolescents
(99.31%) claimed that they had already used a PC at home, school or in another environment. The
percentages are slightly lower in Slovakia (about 96%) and in Greece (98%). The percentages of
pupils/students in Greece who stated that they had used a PC less than a year were about 20%, one of the
lowest one in the EU. Of course, if this percentage is projected onto the (Greek) Primary School, it still gets
24
quite dramatic. In a research of the Observatory for the Greek Information Society (IS) (Observatory for the
Greek IS, 2009a), it was found that the majority (85%) of pupils and students of 8-15 years old uses a PC,
whereas their home is the most basic place of the use of a PC (87%) and accessibility to the Internet (79%).
Fifty percent of the children have already attended a relevant seminar.
There were also statistical significant differences between genders regarding ICT literacy. Boys appear
to have more advanced skills and competencies in using ICT than girls (Barkatsas et al., 2009; Vekiri &
Chronaki, 2008). Moreover, 100% of the schools have equipped with PCs (the ratio of a PC per school is
13,2) and the ratio of pupils/students per a PC linked with the Internet is about 16 (Observatory for the Greek
IS, 2009b). In the Primary school the ratio is even higher: 22 pupils per a PC. Finally, of the Greek
households only 31% has access to the Internet (NSSG, 2008).
In the present article, we are presenting part of outcomes of a wider research that explores the ICT
applications to (Greek) primary schools and their impact on teaching, learning and cognitive processes as
well as on pupils behavioural adjustment, according to primary school teachers and pupils of the 5
th
and 6
th

Grade. A Greek primary school (public and private alike) consists of 6 Grades. The research outcomes
presented here concern the pupils opinions on their degree of acquisition of basic ICT skills, as these skills
are mentioned as to be acquired in the Greek Primary School Curriculum.

3. Methods

3.1 The Sample

The sample of the research consisted of 316 students, class units of the 5
th
and 6
th
Grade of the primary
schools of Northern Aegean, Greece. The selection of the 5
th
and 6
th
Grades of the primary schools for the
conduct of research was made because: a) The children of these Grades are able to fill in the questionnaires
and express their opinion with clarity. b) The pupils had already been trained in New Technologies so they
would be able to express their opinion with clarity on the introduction of IT to the Primary School and the
relation of IT with their learning process and c) at this age, various school experiences had an impact on
pupils. These experiences usually help the pupils acquire learning abilities, perceive themselves and
understand their role as pupils.
Moreover, the area of Northern Aegean was selected because: a) the applied Greek regional policy
was very general, without specifying the particularities of insular regions, even though there were such
programmes (e.g. Integrated Mediterranean Programme (1986-1992), INTERREG, LEADER, etc), b) the
Northern Aegean islands are the external borders of the European Union; and c) there are socio-economic
and educational inequalities due to the insularity and geographical discontinuity of the region.
Concerning the selection of school units from which the respondents sample was drawn, a stratified
sample was used. At the first stage, the schools of research were selected based on the following criteria:
geographical criteria, type of schools (the one-graded school which is the school in which the first 3 grades
are taught in one classroom; the two-graded school which is the school in which the 1
st
, 3
rd
and the 5
th
grades
taught in one classroom and the 2
nd
, 4
th
and the 6
th
grades are taught in another; the three-graded school
which is the school in which the 1
st
and 2
nd
grades are taught in one classroom, the 3
rd
and 4
th
in another and
the 5
th
and 6
th
grades are taught in another classroom; and the six-graded school which is the school in which
each grade is taught in a separate classroom), school organisation, shift, day-long schools or regular
schools. The selection of method a multi- stratified one - ensured satisfactory representation for the given
size of the sample, as it decreased the fault in sampling in relation to the selection of school units. At the
second stage, random sampling was applied to the selected schools, so that it was to be decided which
pupils would participate in the research.
Of the pupils, 153 (48.4%) were boys and 163 (51.6%) girls. Of them, 155 (49.1%) were in the 5
th

Grade and 161 (50.9%) in the 6
th
Grade. Moreover, of that sample of the pupils, 263 (83.2%) were not
25
studying in the DLPS, whereas 53 children (16.8%) were.
Concerning the educational level of the pupils mothers, 64 (20.2%) completed the Primary School, 135
(42.7%) finished the Lyceum, 93 (29.4%) claimed that they had a Higher Education degree, while 24 (7.6%)
pupils did not know their mothers educational level. As far the educational level of the pupils father, 64
(20.2%) completed the Primary School, 127 (40.2%) finished the Lyceum, 89 (28.2%) claimed that they had a
Higher Education degree, while 36 (11.4%) pupils did not know their fathers educational level.

3.2 Questionnaire

During the research the Pupils Questionnaire about ICT was used. Its structure was based on: 1) respective
researches and findings of the international bibliography (Eurydice, 2001, 2004, 2005; Machin et al., 2006);
2) the Primary School Curriculum for the IT subject (YPEPTH, 2002, 2003) and 3) MELLRAs guidelines on
the particular course.
Here we should note that the ICT skills that were assessed in this questionnaire were those that had
been set as goals in the Primary School Curriculum and those that pupils should fulfill. These goals are the
same for both grades; that is, for the 5
th
and the 6
th
Grades.
Furthermore, the questionnaire was given to thirty primary ICT teachers, who evaluated the scales
questions about the relevance of the content in the application of ICT to primary schools based on a five-
point scale (1 = not relevant and 5 = completely relevant). An analysis of the results of evaluation (Mean =
4.8) showed the validity and adequacy of the content of the questionnaire (Content validity). In addition, the
reliability coefficient for the split-half test found 0.89 and the internal consistency reliability coefficient was
found 0.92. The Pupils Questionnaire about ICT consisted of five thematic units and included closed
questions. The first thematic unit referred to the acquisition of basic ICT skills, which are included in the
Primary School Curriculum for IT and are fundamental objectives of the course. The second thematic unit
consisted of two questions about the pupils emotional connection or not with the subjects, in which PCs are
used. The third thematic unit were of questions about the role the use of a PC plays in the pupils school
adjustment. The fourth unit referred to how long the pupils use a PC either at school or in their extracurricular
activities. The fifth unit had questions about modern teaching and the knowledge acquired through
constructionism and critical thinking. At the beginning of the questionnaire there were demographic questions
(pupils sex, Grade, participation or not in the DLPS, parents educational level).

4. Findings

According to the Curriculum, the Primary School pupils are introduced to basic ICT skills. Thus, in the
questionnaire we included these skills and asked the pupils to state whether they had or they had not
acquired these particular skills. We also requested the teachers assess the skills the pupils had acquired, so
we would get an overall picture from the assessment of these skills that would also be reliable.
For the analysis of the particular categorical variables, in which the pupils answers were ranged
between the bipolar Yes - No, we opted to separate the affirmative answers - that is, those in which the
pupils stated that they had acquired the particular skills from the negative ones. Based on this
categorisation, we classified the skills in Figure 1, where the hierarchy denotes the degree of pupils
acquisition of ICT skills. Thus, we observed that 75% of the pupils and beyond knew how to turn on and turn
off a computer, how to use the Painting software program, and the parts of a computer and how to make
triangles with the aid of a computer. From 50% to 75% of the pupils knew how to store the files where they
wanted to; how to insert bold or italics in their texts; how to use the printer; how to write texts in the Word;
how to find information about their homework in the Internet; how to maximise or minimise a window of
operation in the computer; how to insert pictures in their texts; how to make calculations with the aid of the
PC calculator; and how to find addresses in the Internet.
26
Figure 1. Pupils positive answers to Basic ICT Skills

1. I know how to turn on and turn off a computer; 2. I know how to use the Painting software program; 3. I
know the parts of a computer; 4. I can make triangles with the computer; 5. I know how to store my files
where I want to; 6. I know how to insert bold or italics in my texts; 7. I know how to use the printer; 8. I write
texts in the Word; 9. I know how to find information about my homework in the Internet; 10. I can maximise
or minimise a window of operation in the computer; 11. In the texts I write on the computer I can also insert
pictures; 12. I make calculations with the calculator of the computer; 13. I know how to find addresses in the
Internet; 14. I know how to make the invitations for my school celebration on the computer; 15. In order to do
my homework I also use the computer at home; 16. I am communicating with my friends with electronic mail
(e-mail); and 17. I know how to use the Logo software program.
Finally, less than 50% of pupils knew how to make invitations in the computer for their school
celebration; how to communicate with their friends through e-mail; and how to use the Logo software
program. From the preceding, it becomes obvious that the total of almost all pupils had acquired the simple
ICT skills, whereas when we dealt with more complex skills we came to realise that the percentage of pupils
that had acquired these skills decreases, even though these skills are included in the Primary School
Curriculum for the IT subject (Figure 1).

4.1 Grade

We also examined the pupils opinions on the acquisition of basic ICT skills in relation to the grade they were
in. From the examination with the criterion Phi-Cramers V and the analysis of the outcomes, which are
presented in Table 1, we observed that the pupils presented important differences in the following skills: I
know how to use the printer; I write texts in the Word ; I know how to find information about my
homework in the Internet; I know how to find addresses in the Internet; I know how to store my files where
I want to; and I know how to insert bold or italics in my texts. In the above variables, it is discernible that
the 6
th
Grade pupils had acquired more skills than those of the 5
th
Grade, whereas there was no
differentiation in the rest of basic skills either because the pupils had acquired them or because they felt the
lack of these skills to the same degree.

27
Table 1. Grades and positive responses to basic ICT skills

QUESTIONS Grade 5 Grade 6 Phi
Cramers V
Asymp. Sig.
(2-sided)
1. I know how to turn on and turn off a computer. 90.20% 93.70% 0.065 0.253
2. I know how to use the printer. 52.90% 71.60% 0.193 0.001*
3. I can maximise or minimise a window of operation in
the computer.
58.40% 63.90% 0.056 0.327
4. I know how to use the Painting software program. 86.90% 92.40% 0.089 0.116
5. I write texts in the Word. 55.60% 68.60% 0.134 0.019*
6. I make calculations with the calculator of the
computer.
47.40% 58.30% 0.110 0.054
7. In the texts I write on the computer I can also insert
pictures.
53.60% 54.20% 0.006 0.923
8. I know the parts of a computer. 76.30% 82.10% 0.071 0.215
9. In order to do my homework I also use the computer
at home.
41.40% 46.20% 0.047 0.405
10. I know how to make the invitations for my school
celebration on the computer.
40.80% 47.80% 0.070 0.217
11. I know how to find information about my homework
in the Internet.
52.60% 70.10% 0.179 0.002*
12. I know how to find addresses in the Internet. 40.50%. 63.10% 0.225 0.000*
13. I know how to insert bold or italics in my texts. 59.50% 79.50% 0.217 0.000*
14. I know how to store my files where I want to. 62.70% 77.70% 0.164 0.004*
15. I know how to use the Logo software program. 13.20% 13.40% 0.002 0.973
16. I can draw triangle with the computer. 71.20% 76.90% 0.065 0.254
17. I am communicating with my friends with electronic
mail (e-mail).
18.30%. 26.80%
.
0.101 0.075
Note: 1= No, 2= Yes

4.2 Pupils Participation or not in the DLPS

Moreover, we examined the pupils opinions on the acquisition of basic ICT skills in relation to whether they
studied or they did not study in the DLPS. A comparison of the figures is important because IT is taught as an
autonomous subject in the DLPS. Examining with the criterion Phi-Cramers V and analysing the outcomes
presented in Table 2, we observed that the pupils did not present important differences in the use of the
skills, either because they had already acquired them or because they felt they lacked these skills to the
same degree.

Table 2. Participation in the DLPS and positive responses to basic ICT skills

QUESTIONS Regular
(School)
All-day
(School)
Phi
Cramers V
Asymp. Sig.
(2-sided)
1. I know how to turn on and turn off a computer. 90.70% 98.10% 0.102 0.071
2. I know how to use the printer. 61.20% 67.90% 0.053 0.356
3. I can maximise or minimise a window of operation in
the computer.
60.70% 63.50% 0.021 0.711
4. I know how to use the Painting software program. 88.70% 94.30% 0.070 0.220
5. I write texts in the Word. 60.50% 70.60% 0.077 0.177
6. I make calculations with the calculator of the
computer.
51.40% 60.40% 0.068 0.232
28
7. In the texts I write on the computer I can also insert
pictures.
52.40% 61.50% 0.069 0.226
8. I know the parts of a computer. 77.30% 88.70% 0.106 0.062
9. In order to do my homework I also use the computer
at home.
42.80% 49.00% 0.047 0.414
10. I know how to make the invitations for my school
celebration on the computer.
44.10% 45.30% 0.009 0.879
11. I know how to find information about my homework
in the Internet.
62.30% 57.70% 0.035 0.537
12. I know how to find addresses in the Internet. 53.70% 43.40% 0.078 0.172
13. I know how to insert bold or italics in my texts. 68.50% 75.00% 0.053 0.352
14. I know how to store my files where I want to. 70.80% 67.90% 0.024 0.675
15. I know how to use the Logo software program. 12.90% 15.10% 0.024 0. 675
16. I can draw triangle with the computer. 73.00% 79.20% 0.053 0.348
17. I am communicating with my friends with electronic
mail (e-mail).
21.40% 28.30% 0.062 0.274
Note: 1= No, 2= Yes

5. Conclusions

In the present article, we have presented the research outcomes concerning the pupils opinion on the
degree of their acquisition of the basic ICT skills, as these skills are described in the Greek Primary School
Curriculum. The Curriculum and, consequently, the books address those pupils who have got satisfactory
knowledge of IT and access to a PC and the Internet.
From the outcomes of the present research we can observe that: (1) almost all pupils acquire Basic ICT
skills (e.g. turning on/off a computer, use of the Painting software program), whereas a decreasing
percentage of pupils acquire more complex skills (e.g. use of e-mail and the Logo software program). Most
pupils manage to acquire Basic ICT skills without attending an autonomous (IT) subject being taught in the
regular school and without using ICT that was incorporated in the other subjects to the degree it should have
been (even though this is referred to the Primary School Curriculum for the IT subject). However, the pupils
had failed to fulfill all the requirements and meet the goals set by the Curriculum in the same way. Primary
School Curriculum for the 5
th
and 6
th
Grades takes for granted that (1) the pupils of these Grades have
acquired a good deal of basic ICT skills, which are related primarily to the use of a PC and the management
of the Internet; and that (2) the older the children are, the better they acquire ICT skills related to peripherals
(e.g. printer), digital programs (e.g. Word, the Internet) and processes (storage of files, use of bold or italics
in the texts). According to the Curriculum, the pupils of the 5
th
and the 6
th
Grades are expected to have
acquired the same skills as those to which the Curriculum refers.
Trying to explain the above discrepancy, we can say that: (a) in every field education has delayed to
incorporate new cognitive tools in teaching practices, in relation to depth and width is needed (Levine &
Levine, 2002); (b) there is a negative attitude on behalf of the teachers towards integrating ICT in education,
which lies in their lack of knowledge, low self-esteem, and their persistence on traditional teaching methods
(Chatzilakos et al., 2001; Lai et al., 2001); (c) teachers initial education and training is not sufficient to make
deal with the rapidly changing social conditions, changes in knowledge and both in the Curriculum and the
new teaching-pedagogical approaches introduced (Borko, 2004), whereas the form of in-service training
cannot contribute significantly to the introduction of ICT to education (Chatzilakos et al., 2001; Kynigos et al.,
2000); and (d) in Greece ICT laboratories confront problems of aging equipment, non-availability of suitable
software, difficulties with linking with the Internet, whereas the ratio of the pupils / students per PC is not the
best (Grigoriadou et al., 2003; Koulaidis, 2006). Trying to tackle these problems, from the school year 2010-
20, the Ministry of Education, Lifelong Learning and Religious Affairs (or MELLRA in Greek) decided to
29
change the Time Schedule of the Regular School and integrate ICT in the Syllabus of the Regular Public
school as well as to apply measures such as, training teachers, introducing innovative activities, integrating
new supervisory tools (e.g. interactive tables) and renewing and upgrading equipment through EU
programmes so that ICT is better used at Greek Public Schools.
Taking into account the findings of this research, we should note that the pupils participation in the
DLPS

does not differentiate the ICT skills they have acquired from those pupils who study in the Regular
school, despite the fact that ICT is taught as a separate subject only to the DLPS. Although this phenomenon
can be puzzling at the first sight, there are two factors that can explain it: (1) the very presence of non-formal
education and (2) cultural capital; both these factors are closely interrelated. Within the framework of non-
formal education, the Greek family spends an enormous sum of money for the education of their children to
cover educational goods that are not offered at all or are offered inappropriately or ineffectively by the
educational system itself (NSSG, 2008; GSEE, 2008). Of course, this issue tackles upon wider socio-political
issues of Greek society that go beyond the scope of this paper. Nevertheless, in the present context, it
suffices to say that the great development of non-formal education in Greece is related to the little
governmental spending on education, implying that the money that the Greek state does not spend for the
education of its citizens is spent by the pupils families. Thus, the families with a good financial standing are
in a better and more advantageous position than those that are of low income, who can neither satisfy their
childrens educational needs easily nor be able to help their children build a substantial lead in an open and
competitive market - the product of which is an education that will look like more with a consumer product
rather than a good that has a public and social character. In addition, the gradual disengagement of
education from its public character creates fertile ground for the development of speculative tendencies
(within education itself) and imposes free market rules.
The second factor the cultural capital of the Greek families is tightly interwoven with the first one,
that is, non-formal education. For decades now, Greek families believe that their children must be well
educated. Greek parents have been investing in their childrens education (Tzani, 2004; Fragoudaki, 1985),
because they firmly believe that a good education is the best way for their children to integrate successfully in
Greek labour market. Hence, non-formal education and cultural capital of the Greek families are so
inextricably interwoven in the same texture / context of the Greek society that some primary school children
seem to have and have acquired not only the basic but also the advanced ICT skills independently from
the mainstreamed Primary School Curriculum for IT (Vekiri & Chronaki, 2008).
If we combine the above-discussed two factors (i.e. non-formal education and cultural capital) with the
fact that the participation in the DLPS

is not determined by certain social criteria, but it is rather random, and
despite the fact that the IT subject is taught as an autonomous course only in the DLPS, we can conclude
that: (1) teaching techniques and pedagogical approaches to ICT as an autonomous the subject in the DLPS

neither encourages the development of ICT skills nor makes any difference in development of ICT skills the
among the pupils who study or those who do not study in this school. (2) The school does not seem to be the
social compensatory factor that eliminates or does not reproduce structures of an unequal and class-divided
society. According to Marxistm, education cannot be understood separate from social transformations
(Giavrimis et al., 2009; Kelpanidis, 2002). Thus, it is connected with fundamental social and economic
institutions and aims at perpetuating and reproducing the status quo, through the ideology of equal
educational opportunities. Finally, the influence of the package of cultural capital that pupils carry with them
does not seem to get convulsed by ICT teaching in the DLPS, since as mentioned earlier most of the
children have started non-formal education on IT long before they get in the 5
th
and/or 6
th
Grade.
Therefore, considering the important impact that ICT has on modern societies, we should claim that it is
important for the country wishing to have a say and play a role worldwide to invest in teaching ICT and its
applications, creating and providing very good material and technical infrastructure and networking of school
units, upgrading the support network (technical, administrative organisation) and in developing suitable
teaching material both for pupils and for teachers. This teaching material should aim at optimising
30
educational processes and generating student- and cognitive-centred learning environments, developing
authentic problematic situations of modern reality and adopting respective and remarkable assessment
strategies of teaching efforts. It is also quintessential for every educational system to invest in the training of
its teaching staff in ICT. Additionally, we should re-consider seriously the principles of Adult Education, while
designing training programmes, selecting highly qualified trainers in Adult Education and giving the
opportunity to the trainees to further practice when a trainer is present.
Undoubtedly, development of ICT skills and ICT in general could become an important lever of growth
and progress for entire Greek territory, as the existing communication technologies can lend to educational
practice and, more generally, to education (as an institution) such a role in an ever altered and transformed
environment, thus counterbalancing the potentials each region of the country has and facilitating a truly
decentralised development of education.

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33

Micro Business Financing System and Development of Credit Lines in Albania

Prof. Dr Albert Qarri

Rector of Ismail Qemail University,
University of Vlora, Albania,

E mail: bertiqarri@hotmail.com,

Prof. Assoc. Dr Alba Dumi

Management Department, Economy Faculty, Tirana, Albania,
Dean of Graduated School, University of Vlora Albania
Email: besi.alba@yahoo.com

Dr. Ervin Demo

Director of Communication and Public Relation, Management Department,
Economic Faculty, University of Tirana Albania
E mail: ervindemo@gmail.com

Doi: 10.5901/mjss.2012.03.01.33

Abstract The capacity of public administration was weak; the system, stemming from a party focused environment, was highly
politicized. Corruption was pervasive in every facet of the public sector. Citizens feared public administration and did not trust it
to provide even the most basic services in a fair or impartial way. The financial collapse in 1997 was a watershed event in
Albania's transition from its communist past. It highlighted the problems of Albania's economic governance capacity and, from an
administrative standpoint, reaffirmed and highlighted the inefficacy of a public administration, unable to enforce its laws and
regulations. As the public's confidence in Albanian
1
institutions had been significantly eroded by the recent events, restoring the
public's trust in the government became the main priority of the government. In order to achieve this objective the capacity of the
public administration needed to be dramatically strengthened.
2
The donors concurred with this assessment. IDA, starting with
the 1998 CAS, considered governance and institution building as one of the central planks of its intervention and identified the
need to adopt and implement reforms to build an accountable and transparent state as the most important challenge facing the
Government of Albania. Over the next several years, the Albanian Government, in partnership with donors, emphasized
institutional reform and capacity building and developed a comprehensive strategy to strengthen the public institutions for more
effective governance.
3

Key words: Administrative system, implementing financial reforms, accountable & transparent financial public goals,
administration strength micro credit lines.

1. Introduction

This study empirically examines the impact of debt management policies on borrowing costs incurred by
state governments when issuing debt in the municipal bond market. Based on positive political theory and the
benefit principle of taxation, it is proposed that states that adhere to best practice debt management policies
transmit signals to the credit ratings, investment community and taxpayers that the government should meet
1
The Project Development, Project Appraisal Document (PAD) (Report No. 2000, page 59-ALB)
2
Structural Adjustment Credit (SAC & ICR Ministry of finance, Supreme Audit Institute ,year 2009, 2010
3
Ida & CAS report for developing in Albania

34
its obligations in a timely manner, resulting in lower debt costs. This was my entire point with temporarily
nationalizing the banks. Banks are not going to lend until the bad assets are off their books. Someone is
going to pay. If we nationalized, at least we shared on the upside potential. Three Basic Principles: Using
$75 to $100 billion in TARP capital and capital from private investors, the Public-Private Investment Program
will generate $500 billion in purchasing power to buy legacy assets with the potential to expand to $1 trillion
over time. The Public-Private Investment Program will be designed around three basic principles: Maximizing
the Impact of Each Taxpayer Dollar: First, by using government financing in partnership with the FDIC and
Federal Reserve and co-investment with private sector investors, substantial purchasing power will be
created, making the most of taxpayer resources.
The EU remains Albanias main trading partner, providing 64.1% of Albanias imports and receiving
70.2% of exports as of September 2010. Trade with Italy and Greece, although steadily declining since 2008,
continues to represent the largest share of EU trade, with a combined 40.8% of imports and 56.4% of exports
as of September 2010. Other major trading partners include Turkey, China, and Germany. The impact of
CEFTA in Albanias trade with member countries has been small.
4

Shared Risk and Profits with Private Sector Participants: Second, the Public-Private Investment
Program ensures that private sector participants invest alongside the taxpayer, with
5
the private sector
investors standing to lose their entire investment in a downside scenario and the taxpayer sharing in
profitable returns.
Private Sector Price Discovery: Third, to reduce the likelihood that the government will overpay for
these assets, private sector investors competing with one another will establish the price of the loans and
securities purchased under the program. The partnership and business take place worldwide, in a huge
diversity of societies and between widely varying organizations. Actually, the business environment has
become more complex, with expanding and deepening ties between societies and between the many
organizations within those societies. Moreover, many large organizations now see themselves as truly global
in scope, not rooted in any one society. T
6
he aim of this article is to present an overview of the international
environment, highlighting the differing levels, from local and national, to regional and international. The
discussion focuses on the main identifying features of the business organization, including ownership and
decision-making structures, as they adapt in differing geographical contexts. It is emphasized that the
multinational enterprise (MNE), central to international business activities, covers a variety of organizations,
large and small and the growing interactions between organizations, governmental and societal players are
resulting in a broader view of the business organization in society. This argument looks at varying
perspectives on globalization, often argued to be the defining characteristic of our times. These are showing
on the table nr 1.

4
TDS Albanian Europe, internet link 2010, pp 12, 34, 15
5
Private Sector Price Discovery, FDIC, Geithnerr & Mozilo, Japan Bank 2010
6
Albanian Governance report , year 2009
35
Table 1.
1
Private Sector Price Discovery, FDIC, Geithnerr & Mozilo, Japan Bank 2010

As a result of a multi-block multivariate regression model
7
the implication of adhering to debt policies aimed
at promoting transparency results in a borrowing cost savings in terms of true interest cost (TIC) of close to
$8,000 for every $1,000,000 of debt issued (-.769, p<.10). However a comprehensive debt policy is not a
significant indicator of borrowing costs. These results suggest a product of a pull push process between the
economic forces of the bond market on one hand and politics on the other, pulling the administrative function
toward efficiency in the former and democratic values of responsiveness and transparency in the latter. The
problem lies in policies that respond to the bond market but virtually exclude any other community interest in
policy making. It is recommended that openness in government and allowing taxpayers to understand
government services are essential goals in ensuring responsible citizen oversight and providing taxpayers
the opportunity to be less likely to propose restrictive initiatives or force dramatic political or management
changes through the electoral process or bond referenda.

1.1 Financial Control and Cost Calculation Systems

Most enterprises are used to keeping accurate records for tax purposes, often using electronic tools, such as
spreadsheets, to elaborate and present the data. However, only a few of the enterprises use the same kind of
tools for cost calculation, break-even point calculation, simulation and sales forecast, etc. MS Excel has built-
in formulas and templates for this type of calculations, but few SMEs make use of them. Among the
interviewed enterprise owners/managers, marketing skills is the number one perceived training need.
Absorbing fundamental marketing theory and practical marketing tools to be applied within their organizations
is seen as crucial. In regards to sales, this skill is often confused with marketing, and in most cases the same
7
The finance theory, B Ciceri, H Xhafa January 2000, Capital Cost, (RADR)& (camp) pg 323
36
person responsible for marketing will also do the occasional sale activity.
On matters of public administration, the Government's strategy focused on addressing two inter-related
sets of interventions: (a) strengthening public financial management, including the management of both
public expenditures and revenues; and (b) strengthening human resource management. The Government
worked with donors on the public financial management agenda by strengthening core public financial
management units (Ministry of Finance, Supreme Audit Institute, Procurement Directorate within the Office of
the Prime Minister) as well as the financial & management units within each line agency (e.g., budget
departments within line Ministries). On matters relating to public sector human resource management, the
reform strategy envisaged addressing this issue in two major stages: civil service reform and broader public
sector human resource management reform. During the stage, the reforms aimed to create the managerial
and professional nucleus required to lead any serious efforts to improve the accountability and performance
of public institutions.
During the first years of the reform, the government focused
8
on improving the legislative framework to
ensure that its objectives could be achieved. By 1999, and prior to the approval of the credit under review by
this ICR, the Government had identified and adopted a large number of measures which provided important
institutional capacity to strengthen the public administration. Supported by the Structural Adjustment Credit
(SAC),
9
and Public Expenditure Support Credit, the government undertook a number of pivotal actions which
defined the framework of reform. Among them, Parliament
10
revised the Civil Service Law in November 1999,
and an independent Civil Service Commission (CSC)
11
was created and staffed.
The recruitment of 50 civil servants under transparent, competitive, merit-based procedures as
established under the human resources management legislation was completed.
The Public Administration Reform Project (PARP),
12
under review in this ICR, was an investment credit
aimed at supporting the implementation of this ambitious reform agenda.
The credit targeted governance and institution building to support both the public expenditure management
and the human resource management agendas. It was complemented by a long series of policy based
adjustment operations and extensive economic and sector-related work as well as related activities financed
by other donors.

1.2 Original Project Development Objectives (PDO)

The Government of Albania has adopted a comprehensive policy reform program to strengthen Albania's
weak institutional and governance capacity. This policy reform program is being supported by a Structural
Adjustment Credit, which was approved by the Bank in June of 1999.
13
( The data are showing at the end or
paper in
13
index)
The overall objective of the proposed Public Administration Reform Project is to provide required resources
for technical assistance, training, goods and incremental operating costs that are needed to implement the
Government's Institutional and Public Administration Reform agenda effectively. The Development Credit
Agreement (DCA) states the objective of the project to be: The objective of the Project is to assist the
The Project Development, Project Appraisal Document (PAD) (Report No. 20059-ALB)
9
Structural Adjustment Credit (SAC) Report 2009 , CSC Report 2010
10
Albanian Parliament 2010
10
Credit report & general Albanian BANK, YEAR 2008
, Crediting of micro-business, The Project Development, Project Appraisal Document (PAD) (Report No. 20059-ALB)
11
Civil Service Commission (CSC) FOR MICRO BUSINESS FINANCING
12
The Project Development, Project Appraisal Document (PAD) (Report No. 20059-ALB)
13
Real GDP growth (2009 est.): International Monetary Fund 2.8%, Ministry of Finance 3.3%; (2010 pp 64): International Monetary Fund
2.6%, Ministry of Finance 4.1% .)Inflation rate (2009): annual average 2.3%; (as of November 2010): 2.8%. (Albanian Institute of
Statistics)
Unemployment rate (2009): 13.75%; (as of September 2010): 13.52%. (Albanian Institute of Statistics
37
Borrower to improve its capacity with regard to policy formulation and coordination, and administrative
performance so as to create conditions that will encourage the Department of Public Administration of the
Borrower to improve their service delivery.

2. Micro Business Financing and Credit lines

Credit lines are considered as a limit granted to a customer for use within a specific period of time. Credit
lines are not used as an extension of a current account of the customer and can only bear debit balances.
Micro businesses often use working capital to pay short term obligations as inventory or it can be also utilize
for long term projects such as renovations or expansion. If working capital dips too low, a business risks
running out of cash. The small loans can be used as a fast cash option to caution the periods when cash flow
is not available. Cash flow is the micro business life blood and every owners primary task is to help keep it
flowing and use the cash to generate profits. The faster a business expands the more cash it will need for
working capital.

2.1 Eligible Customers

Credit Lines are given mostly to Physical Professionals Persons and Micro Business customers such as
shops, groceries, pharmacies, bakeries, mini-markets, small manufacturing workshops etc. The common
characteristic of these businesses are that they are established on family base, limited employment (up to 5
people). For example: Tirana Bank will offer them a full range of banking services, including: personal and
business deposits and loan accounts, buying and selling of foreign exchange; paying taxes, phone bills
settlement etc.

Table 2. Credit Proposal for Professional Facility SME Product

Purpose To cover the needs of clients Professionals for Cash Liquidity.
Min / Max Loan Amount
- Min. 1,000 EUR or equivalent ALL, USD.
- Max. 10,000 EUR or equivalent ALL, USD.
Loan Security
- Personal guaranty of borrower, co-borrower or Guarantor if
necessary.
Currency EUR, ALL, USD
Interest rates

- First year fixed interest rate.

ALL = Treasury Bill (12 Months ) +8.5 %
EUR = Euro bor (12 Months ) +7.5%
USD = Libor (12 Months ) +7.5%

Floating rate: The interest rate will be floating every 3 months,
respectively at 15 March, 15 June, 15 September, and 15
December, to be linked to a national and international index
(Treasury Bill / Euro bor / Libor).

Overdue Interest 3% + interest
Insurance Not Necessarily
Max LTV
n/a
38
Loan period
Up to 12 months renewable (based on renewal criteria of Tirana
Bank).
Repayment Method
- Quarterly payment of interest.
- The principal to be renewable every year.
Grace period Not Necessarily
Disbursement Crediting the borrowers sight account.
Fees and commissions

- Administrative expenses 1.5% flat fee with Min 50 Euro.
Penalty fee for pre-payment 1. There is no repayment penalty, 0 fees.
Age Min 18 years (preferably 25 years old)Max 60 years
Professions / Length of
Employment
Customers target group
The loan is intended exclusive for professionals (Doctors,
Pharmacist, Dentist, Lower, Notary, Authorized Financial Expert
etc).
The owner of the company called borrower. In the event of more
than one applicant the others are called co- borrowers/s.
The persons / legal entities who guarantee the loan contract are
called Guarantors.

Professional stability
Borrower Stability conditions

2.2 The Purpose of the Credit Lines

Used to pay for current assets such as inventory, accounts receivable and other working capital
requirements; seasonal financing, contract performance, financing against existing inventory and
receivables, or to purchase an existing business. These credit lines are not indented for purchases of
equipment or real estate.

2.3 Ineligible or not Appropriate use of Credit Lines Proceeds

a. The borrower cannot demonstrate the ability to repay the loan
b. The business involves gambling activities, real estate investment or other speculative activities or
intention to use the proceeds for an unsound business purpose, repay delinquent withholding
taxes, make a change in ownership or business that will not benefit the business, refinance
existing debt where the bank might sustain a loss or reimburse funds owed to an owner of the
business. The Credit Requirements (Tirana Bank example)
14

Tirana bank considers a variety of factors when determining if an applicant is creditworthy as follows:
a. The applicant performs active business for minimum 2 years
b. No litigation is pending against the client
14
References data of confidence from Tirana Bank year credit lines 2009
39
c. Cash flow generated from the business
d. Management experience
e. Credit history and character.
f. The owners equity contribution
g. The collateral offered
h. How quickly the business collects money owed for its goods and/or services, whether has a
profitable history, if sales are stable or growing, how the business is positioned against its
competitors, etc

2.4 Credit Department

a. Within 24 hours the Credit Proposal is presented for approval or denial.
b. Credit Department notifies the branch of the decision via fax and with a follow up duly signed
Credit Proposal.
15

c. Depending on the loan, additional information may be requested as income verification.
d. If the loan is denied the Branch contacts the applicant and provides details of why the loan is
rejected.
Credit lines are actually open ended loans, with review periods usually equal to 12 months. The accounts are
reviewed close to the end of their review period and the line could either be renewed for another term of 12
months, or matured.

2.4.1 Term Renewals

The fate of the credit lines, i.e. whether it will be renewed or not, as well as the limit amount assigned to the
line for the new period (if renewed) will determine how the outstanding principal will be treated and how
renewals will be handled. Renewals will be only for updated credit lines.
More specifically:
In case of non renewal of the credit line, the whole outstanding principal (apart from any other due items) will
be due on the expiry date and payment should be effected, otherwise it will be considered overdue (i.e. in
delay).
In case of renewal of the credit line, with the same or increased limit, the whole outstanding principal due
date will be carried forward to the new expiry date of the credit line. E.g. in case a credit line is originally
given with a review period of 12 months, which expires on the 1
st
of December 2006, any principal disbursed
on the loan will be considered as due on the 1
st
of December 2006. Any repayment to the loan, reducing the
outstanding balance should be taken against the principal due on that date.
If this credit line is renewed for another 12 months, the due date for the outstanding principal on the 1
st
of
December 2006 will be shifted to the 1
st
of December 2007. There is no requirement to repay the whole
outstanding balance of the credit line, prior to starting out the new term. In case of renewal of the credit lines,
with a lower limit amount, then any outstanding principal, in excess of the new limit amount should be repaid
on the review date of the line. E.g. assuming that in the above example, where the line expires on the 1
st
of
December 2006, and the approved amount is 40.000 EUR and the outstanding principal on the expiry date is
40.000 EUR (fully- utilize ). The line is renewed for another 12 months, the new term expiry date is set to the
1
st
of December 2007; however the limit amount for the new term is 30.000 EUR. The outstanding principal in
excess of the new limit (i.e. the 10.000 EUR) should be repaid on the 1
st
December of 2006, otherwise it will
be considered as overdue.
15
Referenced data Credit department general Albania bank,2007, 2008, 2009
40
Interest Rates
16

Interest rates are floating:
a) ALL loans 1 Year Treasury Bills rate + 5% (min 12%)
b) EUR loans EURIBOR 1 Year +6% (min 11 %)
c) USD loans LIBOR 1 Year + 6% (Min. 11 %)

The above interest rates are pegged on interest payment frequency on a 12 month basis. The interest rates
are re-pegged to the base rate value of the renewal date.
The margins are negotiable and can vary according to the agreement with the customer.
This Albanian reform allows banks to better evaluate the creditworthiness of potential borrowers, facilitating
access to credit for firms and individuals. Albania also strengthened investor protection. A new company law
requires that disinterested shareholders approve transactions between interested parties and obligates those
parties to disclose all information on the transaction to the public. The law also reinforces directors duties
and requires directors, when found liable, to pay damages and return profits to the company. A new
bankruptcy law approved during 2008 provides a more efficient framework for closing a business.
Despite good progress in those areas, Albania needs to do more to improve its ranking in other indicators. In
addition, much remains to be done because the report doesnt measure other important indicators that have
significant impact on the business climate like corruption, infrastructure and the efficiency of
the public administration.

Table 3. Interest rates (ALL loans, EUR loans, EURIBOR, USD loans). The payment frequency on 12
month and indicators of loans are confidentially data.
2.4.2 Re-Payment Schedule

The type of schedule for credit lines depends on the type of the Credit line. More specifically: There is no
specifically assigned due date for the principal, the customer can repay the outstanding principal at any time
(fully or partially) within the term of the line, so that the funds are once more available for re-use. In case no
repayment is done for the whole term of the line, then the outstanding balance is considered as due on the
expiry date of the line (depending on whether the line is renewed or not). This is very similar to the above; it
is contracted that the total of the outstanding balance should be repaid on the expiry date of the line.
16
Repayment schedule Libor per year report, December 2006, 2007
41
2.4.3 Decreasing Lines

These are the only cases, where there are specific repayments scheduled within the term of the line.
Decreasing lines are those, where there is a scheduled decrease of the limit amount within the term of the
loan. In case of non-payment, then the amount is should be considered as overdue and delinquency
processing should take place. A line can shift from one type to another, especially between a random
repayment and a decreasing line type. E.g. it might start as a random repayment line, however in the middle
of the term, a decrease to the limit might be considered and scheduled, which will turn it to a decreasing line.
On renewal, it might be renewed with the same approved limit, so that it will once more be considered a
random repayment line.

3. Payments and Interest Rate

Apart from the interest payments, the customer can freely repay the outstanding balance of his loan (this is
not considered as an early repayment), so that he can re-put the available balance of his account. When
such repayments are made to credit lines (and if no other due items exist), the total amount should be taken
against the outstanding principal. No interest accruals are to be paid by the repayment amount. A margin of
3% over the regular interest is charged on overdue principal and interest. When the maximum amount
charged within the term is reached by a disbursement, further disbursements within that term are no more
chargeable. In case, there is an increase of the limit within the term of the line, then the maximum amount
that can be charged within the term is also increased by the same percentage (1% or 0, 3%) on the increase
amount and subsequent disbursements will be charged up to the new admin fee total amount. The fee should
be posted to the repayment account after the disbursement credit, as a separate posting. The above
depends on the type of the credit line, as explained in the previous chapter, with the decreasing lines being
the exception where scheduled repayments exist.

3.1 Collaterals

Any type of Banks accepted collateral can be assigned to credit lines. It is rather common, that such lines
are given under a first rank mortgage security in favor of Albanian Bank (commercial premises take the
preference or residential premises can be accepted as well), which generally have to be: owned by borrower
or co-borrower, easily marketable and preferably divisible. The LTV (loan to commercial value of offered real
estate) will not be higher than 50%. For example for a shop of 50.000 EUR commercial value the maximum
loan will be 25.000 EUR.
The appraisal of mortgage: will be done from the branches according to the standards procedure and
the appraisal reports have to be signed from branch managers.

1. Non-life securities: Property insurance for 100 % of commercial value
The core set of measures of impacts on institutional performance to monitor intermediate institutional impacts
is indicated in the PAD. It includes an extensive list of indicators, some of which were intended to help the
Government focus attention on the longer-term objectives of its reform effort, and to capture the more
immediate and concrete progress.

2. Policy and Public Expenditure Management: aggregate fiscal discipline including inflation rate, revenue
predictability, and fiscal aggregates; strategic prioritization including policy volatility, delays in auditing, and
deviation from functional appropriations and operational efficiency including representative deviation by
spending units at sector level, and transparent, competitive procurement Public Sector Human Resource
Management: fiscally sound pay and employment practices including the number of civil and public servants
42
in comparison with international practices, and fiscal weight of public employment in comparison with
international practice; competitive and non-arbitrary remuneration including civil service pay (vertical and
horizontal compression), and comparisons with the private sector; and human resource management based
on rules, performance and fairness including rule credibility, and limited incidence of political appointees in
the civil service project was complemented by several other investment operations, including health,
education, social services, land development, agriculture services.

3. The objective of putting two sets of reforms under the umbrella of a single project was to improve the odds
of collaboration between the two central agencies leading each of these reforms; i.e., MOF and DOPA. Yet
experience with these sets of arrangements seems to indicate that engendering the needed collaboration in
practice is quite difficult and rarely materializes solely on the basis of project coordination. Instead, including
public expenditure reforms and public administration reform in the same investment instrument only added
complexity to project implementation. It also increased the need for disparate skills within the supervision
team. In this context it is important to note that the Bank tends to make standard allocations for supervision
notwithstanding the project's complexity.
However, these measures would have significantly delayed Board presentation of the project and there
were merits perceived to have the investment project approved at the same time as the SAC as leverage
from the SAC helped spur the Government to move on key preparation elements. Given this strategic choice
to go ahead with Board presentation despite the inadequate preparation of the Treasury System component,
the project's implementation timeframe should have been extended to take into account the system's
incomplete design.

Conclusions

Bank of Albania assesses that the difficult situation the international financial markets are going through,
augments the risk for the Albanian financial system. Due to certain factors related to the characteristics of the
local financial activity, such a difficult situation in the international markets is not expected to impose a real
and considerable impact on the internal financial market. However, the situation in the financial international
markets remains unstable, thus its impact on the internal financial market could change. For that reason, it is
needed that the financial institutions and the regulative authorities of the country, follow and analyse carefully
these events.
As factors that presently safeguard the Albanian financial system from the un-favorite events occurring
in the international financial markets, we can mention as follows:

a) the quite well financial situation of the system and particularly of the banking sector;
b) the absence of the similar and sophisticated financial products, whose value was recently shocked
throughout the international financial markets;
c) the rather low levels of the need for financing in the international financial markets from the Albanian
financial institutions, and particularly from the banking sector, as there is a lot of space to provide for its
financial needs by the internal sources;
d) the rather restricted direct and indirect exposure of the Albanian financial institutions, and particularly of
banks, in other institutions and financial products, whose value is negatively impacted by the difficulties of
liquidity in the international financial markets;
e) the limited exposure and financially affordable of the European banking groups that operate in Albania,
versus "sub-prime" loans financing scheme of the United States of America;
f) The well financial performance demonstrated in these last years by the financial institutions and by the
European banking groups that has built on a better financial protection, through the standart of the necessary
reserves and the sufficient of the activity to absorb such shocks.
43
The financial sector in Albania has in general been spared from the global financial turmoil, primarily
due to the low amount of loans in relation to total deposits. Also the lack of a housing/construction bubble has
minimized pressure on the banks. However, a significant reduction in bank deposits took place in the fall of
September 2008 as individuals withdraw their money due to fear from losing their savings. Since October
2008 deposits dropped by about 15% and during 2009 they were below their top level. After summer 2009
there has been a stable increase in bank deposits and by the end of 2009 they reached their pre-crisis level.
Lower deposits created some liquidity issues but banks were well equipped to face the situation. Banks have
increased their equity capital to better face the situation and also BOA has an active monitoring program to
ensure enough liquidity in the banking sector. The financial sector is totally dominated by commercial banks
funded with private capital. Currently, 16 banks are operating in the country two domestically owned banks
and 14 foreign or joint ventures. The degree of market concentration remains fairly high as the five largest
banks dominate the market with about 75 percent of total assets. The performance of the financial sector in
channel savings towards productive investment has substantially improved, but still remains weak in
comparison to Western standards.

References

Albanian Macroeconomic incomes 2006, pp 10,12,24,46
Albanian publisher by Albania international bank 2010, report
Albania study consulting report, pp
Albania Government journal , pp 14,27,39 year 2009
Albania Economy statistic facts, Swadder year 2006, series and modeling goals
European Commission. "A Single Market for goods". Retrieved 27 June 2007.
European Commission. "A Single Market for Capital". Retrieved 27 June 2007.
European Commission. "Living and working in the Single Market". Retrieved 27 June 2007.
European Commission. Retrieved 27 June 2007. Albanian loans and collateral.
European Commission. "Competition: making markets work better". Retrieved 12 November 2007.
Finding by internet, www.bankalbgov.al, www.balcan web.al pp12,23,16 year 2001
Findings by internet. Albanian Local Government Support Program (CSLGP)
Forum of Development of customs Lartty year 2011,
GovLeaders.org, author Cynthia McCauley, methodology pg,128 year 2009
Gene Klan Holkers, of the Center for Creative Leadership and innovation pg 12,23,28 year 2010
Global finance and management, Brekel & Sources 2010, pp 12,15,18
Goals and public loans, ABexheti Huat publike dhe te mirat publike ISBN 995-784-632-12 pp 34,46,68,98
Govern of Albania, ministry of economy, year 2010,pg 6
National Official webpage of the Ministry of European Integration.
National Albanian official page, Ministry of Economy, year 2010
July 2006 column for GovLeaders.org, Ray Blunt ,American society INCOMS
October 2004, ICMA's Magazine ,pg 8,15,24
Public Sector Consortium, report 2006
Public goals Albanian monitoring report, year 2007, pg 12
Public Sector and economic environment year 2007


45

Impact of Immediate and Delayed Error Correction on EFL Learners Oral Production: CAF

Afsaneh Rahimi

University of Isfahan, Iran
afsaneh_rahimi85@yahoo.com

Hossein Vahid Dastjerdi

Associate Professor of Applied Linguistics
Email: h_vahid@yahoo.com

Doi: 10.5901/mjss.2012.03.01.45

Abstract As the purpose of communication in second/foreign language learning can be complex, fluent and accurate speech,
the best type of correcting learners' errors need to be taken into consideration. The aim of this study was to investigate an
effective error correction method (in this case immediate and/or delayed) in developing learners' complexity, fluency and
accuracy in speech. The other aim was to measure the level of anxiety that students experience in the class while the teacher
corrects their errors immediately or with some delay. 20 female intermediate EFL learners aged 15 to 20 were chosen from one
of the English language institutes in Isfahan, Iran. The participants were divided into 2 groups of 10. For G1 errors were
corrected immediately and for G2 with some delay, i.e. after finishing their speech during 30 sessions. At the end of the term,
each student was asked to discuss one of the topics they had discussed during the term while their voices were recorded and
transcribed later. Measures of accuracy, fluency, and complexity were developed and the results showed that delayed error
correction has positive effect on fluency and accuracy but not on complexity. For the second aim, a Foreign Language Anxiety
questionnaire was given to all the participants at the end of the term and the results indicated that G2 with delayed correction
experienced less anxiety in class.

Keywords: error correction, CAF, anxiety, fluency, complexity, accuracy

1. Introduction

The importance of errors and their correction has never been ignored by teachers of second languages as
well as practitioners in first language acquisition. It is generally agreed that correction is part of teaching and
learning process. Second language acquisition (SLA) researchers have claimed that the feedback provided
during conversational interaction facilitates the acquisition process (Long, 1977; Swain, 1985). Helpful
interactional processes include the negotiation of meaning and provisions of recasts, both of which can
supply corrective feedback to let learners realize that their utterances were problematic.
Lightbown and Spada (1999) claimed corrective feedback is useful. Swain's (1985) study also
suggested that treatment of errors helps students learn better, whether the feedback is explicit or implicit.
Recasts as a way to provide learners with feedback have also drawn considerable attention. Long (1990)
believes feedback can facilitate learning a second language. The findings of a host of other researchers are
also in line with what Long says. Some though have focused on the different modes of corrective feedback
and wished to find out which of the different methods of giving feedback employed by the teacher is/are more
fruitful.
However, there is a fact that over-correction or poor correction techniques can be demotivating for the
learners and, especially when oral performance is focused, may lead to reluctant speakers who may never
try out a new language or even to speak at all. Therefore, teachers need to be aware of when to correct
learners' errors so that learners' speaking abilities will promote without damaging their confidence.

46
Some language teachers suggest that students' errors should be corrected immediately when the aim
of the lesson is to promote accuracy. So attention to errors at this stage may improve the chances of later
correct use of language. However, it is believed that when the aim of learning a language is fluency, gentle
and delayed correction techniques are required in order not to damage the flow of the activity (in this study
speaking) or the confidence of learners.
Thus, since the overall purpose of nearly all language learners taking foreign language courses is
improving their oral production, teachers must be aware of this fact and try to help learners achieve this goal.
Hence, teachers must be conscious of techniques used in the classroom. They must have enough
knowledge for choosing the best techniques of correcting learners' errors to promote their oral proficiency.
Based on what was stated above, the purpose of the present study was to investigate the effects of
immediate and delayed error correction on the complexity, accuracy, and fluency in students speaking. The
other aim of the study was to investigate the anxiety that students experience in their English classes,
especially while speaking, when the teacher corrects their errors on the spot or after finishing their speech. It
was done via an anxiety questionnaire which will be discussed in later sections.
The study therefore addressed the following research questions:
1. Does delayed error correction increase complexity in speech compared to immediate correction?
2. Does delayed error correction increase accuracy in speech compared to immediate correction?
3. Does delayed error correction increase fluency in speech compared to immediate correction?
4. Does immediate error correction increase students anxiety more than delayed correction?
Based on aforementioned questions, the following hypotheses were formulated:
1. There is no difference between delayed and immediate error correction in the amount of complexity
they impose on ones speech.
2. There is no difference between delayed and immediate error correction in the amount of accuracy
they impose on ones speech.
3. There is no difference between delayed and immediate error correction in the amount of fluency they
impose on ones speech.
4. Immediate error correction does not increase students anxiety.

2. Background to the Study

2.1. Research on Corrective Feedback

Corrective feedback is a response by which the addressee intends to correct the speakers erroneous
utterance. The incorrect utterance can consist of grammatical errors, meaning errors or inappropriate use of
lexical items. According to Ellis et al. (2006), corrective feedback is a response to a learners erroneous
utterance by: i) indicating where the error has occurred; ii) providing the correct structure of the erroneous
utterance; or, iii) providing metalinguistic information describing the nature of the error, or any combination of
these.
Studies on corrective feedback have focused on its nature and its role in language teaching and
learning (Panova and Lyster, 2002). One such study is an experimental research which investigated the
effects of recast and metalinguistic corrective feedback on the acquisition of past tense -ed in a normal
classroom situation (Ellis, Leowen, and Erlam, 2006). The participants were 34 English-as-a-second
language (ESL) learners and their proficiency level was lower intermediate. The participants were divided into
three groups: two experimental and one control groups. Groups 1 and 2 completed two communicative tasks
in two consecutive days. During the tasks, Group 1 received metalinguistic feedback and Group 2 received
recast feedback, in response to past tense -ed errors. The control group did not complete the tasks nor did
they receive any feedback on the errors. The assessment procedure was carried out in three stages: a pre-
test, a posttest and a delayed test. The pre-test was conducted before the instructional tasks. The post-test

47
and the delayed test were conducted one day and two weeks after the instruction, respectively. During the
communicative tasks, Group 1 elicited more correct target forms (56% of total target forms elicited) compared
with Group 2 (48%). There was also a significant difference between the two groups pre-test versus the
delayed test results. Overall, the results showed Group1 performed better than Group 2.
In another study, using on-line chatting technology, Leowen and Erlam (2006) replicated the
experiment by Ellis, Leowen, and Erlam (2006). The participants were 31 ESL elementary level learners who
were divided into three groups: Group 1 received metalinguistic feedback; Group 2 received recast feedback,
and a control group who did not receive any feedback. The assessment phase of the study was the same as
that of Ellis, Leowen, and Erlam (2006) (see above); it was carried on in three stages. The pre-test was given
before the chatting phase, while the post-test and the delayed test were conducted one day and two weeks
after it, respectively. The study concluded that although Group 1 produced more correct target forms (52%)
than Group 2 (46%), the results showed no significant difference between Group 1 and Group 2 performance
in both pre-test to post-test and pre-test to the delayed test results.
One experimental study investigated which one of three types of corrective feedback (metalinguistic,
metalinguistic + elicitation, and repetition + elicitation) is the most effective on learners uptake while using a
CALL system (T. Heift, 2004). Learners uptake means the students response to correct his or her
mistake(s). The CALL system known as E-Tutor was developed for the learners who wanted to practice
various exercises on German vocabulary and grammar. The experiment was done in four stages: a pre-test,
the system usage sessions, a post-test, and questionnaires. The pre-test was taken by the participants
before using the system. The participants, who were university students, used the system for an entire
semester (15 weeks) and completed exercises provided in each chapter. The post-test and questionnaires
were given to the participants at the end of the semester.
Results yielded that the participants were most likely to correct their errors (87.4%) when provided with
metalinguistic + elicitation, compared to the provision of metalinguistic (86.9%) and repetition + elicitation
(81.7%). Overall, the metalinguistic + elicitation is the most effective method for the learners uptake.
Another work was an experimental study of effective corrective feedback strategies for learning the
Spanish subjunctive mood in a Web-based CALL system (A. Ferreira, 2006). The author classified corrective
feedback into two different groups: Giving-Answer Strategies (GAS) and Prompting-Answer Strategies (PAS).
Examples of GAS are repetition and explicit correction feedback, while PAS includes metalinguistic and
elicitation.
The experiment was done in three stages: a pre-test, three treatment sessions, and a post-test. All
participants were randomly assigned to form three groups, each consisting of 8 members. The first group
received PAS feedback in response to incorrect answers and positive acknowledgment for correct answers
during the treatment sessions. The second group received GAS feedback and positive acknowledgment.
The third group, a control group, received only positive and negative acknowledgment during the
treatment sessions. Overall results showed that the PAS group had performed better than the GAS group,
and both better than the control group.
A good number of studies have distinguished between direct and indirect feedback strategies and
investigated the extent to which they facilitate greater accuracy (e.g. Lalanda, 1982; Robb et al., 1986; Ferris,
1995a, b; Ferris and Hedgcock, 1998). Direct or explicit feedback occurs when the teacher identifies an error
and provides the correct form of it, while indirect strategies refer to situations when the teacher indicates that
an error has been made but does not provide the correction, thereby leaving the student to diagnose and
correct it.
A few error correction studies demonstrate the efficacy of direct corrective feedback. (e.g. Komura,
1999; Roberts, 1999; Ferris et all., 2000; Rennie, 2000).
Assuming that the teacher does not ignore errors, s/he has a series of choices to go for (All wright 1975, p.
46):
1. To treat them immediately or to delay their treatment;

48
2. To correct the error maker directly or to transfer the treatment to another individual, subgroup, or
the whole class;
3. If the treatment is transferred to others, whether to return to the original error maker to see if he is
now aware of his error and how to correct it;
4. Whether the teacher or another learner provide the correct treatment;
5. Whether to test for the efficacy of the treatment; (p.46)

Finally, in a more recent study, Dabbaghi (2006) investigated the effects of immediate and delayed error
correction on students' oral production. However, the focus of his study was on learners' pronunciation.
Dabbaghi chose 70 learners for his study randomly and divided them into two groups, the immediate
correction group and the delayed correction group. The treatment was done during some sessions and after
that a posttest was used. Students' discussions were recorded and then transcribed. Dabbaghi finally
concluded that if teachers are to select one of the two options, i.e. immediate or delayed correction, it would
be preferable to them to choose delayed correction.

2.2. Oral Production: CAF

The notions of complexity, accuracy, and fluency (CAF) have been employed in a number of studies on the
acquisition and use of a second language. However, such studies do not constitute a theory or a research
program in themselves. They are dimensions for describing language performance, most frequently used as
dependent variables to assess variation with respect to independent variables such as acquisitional level or
task features. CAF measures can also be used to describe performance by native speakers or first language
learners.
Fluency can be defined as the capacity to produce speech at normal rate and without interruption or
as the production of language in real time without undue pausing or hesitation (Ellis and Barkhuizen 2005:
139). Both the definitions imply some normative reference, usually assumed to correspond to native
speakers behavior. Fluency is a multidimensional construct, in which sub-dimensions can be recognized,
such as breakdown fluency, repair fluency, speed fluency (Tavakoli and Skehan 2005). Once it is established
which of these sub-dimensions is at issue, it is in principle relatively transparent what is being measured.
Accuracy is perhaps the simplest and most internally coherent construct, referring to the degree of
conformity to certain norms. At least since Bley Vromans (1983) article on the comparative fallacy, it is clear
that accuracy per se is not a direct indicator of interlanguage development. Wolfe-Quintero et al. (1998: 33)
acknowledge this when they write that the purpose of accuracy measures is precisely the comparison with
target-like use. Whether that comparison reveals or obscures something about language development is
another question.
Complexity is certainly the most problematic construct of the CAF triad because of its polysemous
nature. It would be preferable, following Skehan and differently from Robinson, to call the former difficulty,
specifying that it means objective difficulty that is inherent to the task, and thus different from subjective
difficulty, which arises from the encounter of a subjects (in) competences with a task. Climbing Mount
Everest is objectively more difficult (i.e. more difficult for everyone) than climbing Ben Nevis, even though
climbing both mountains is for me subjectively more difficult than for an experienced mountaineer.
Even restricting the use of complexity to performance description, it still retains multiple meanings,
because it can be applied to different aspects of language and communication. Ellis and Barkhuizen (2005:
1534) list eight of these aspects, including lexical, interactional, propositional, and various types of
grammatical complexity.
It was not until 1989 that measures of CAF were used in the measurement of learners performance on
tasks. It should be noted, though, that even today SLA still lacks suitable measures and that this remains a
problem in defining development.

49
For instance, Ellis (2003) identifies a methodological problem in task-based CAF studies: ... the failure
of many of the studies to provide precise specifications of the proficiency of the learners. In his article, Ellis
also discusses the differential effects of rehearsal, strategic planning, and within-task planning on the fluency,
complexity, and accuracy of L2 production. Ellis review shows how complicated it is to ascertain the effects
of planning on task performance. Not only do the three dimensions of CAF have to be measured for each of
the three types of planning, but also Ellis reports that the learners language proficiency, attitudes, and
orientation to a task make a difference. In addition, the context in which the study is conducted, a classroom
or a laboratory, also affects the CAF of learner performance. Ellis also poses an important question; some
would say the important question, of how learner performance on a task at one time connects to acquisition
over time.
Skehan (1998) suggests that human attention capacity and working memory are limited and that when
learners direct their attention to one dimension of CAF, it may reduce their attention for other areasthe
Trade-off Hypothesis. In line with Ellis, Skehan (2001) also points out the importance of task characteristics
and task conditions in affecting CAF. Also in a note similar to Ellis, Skehan maintains that learners can
prioritize attention to particular areas and that ... task performance seems to be the result of an interpretation
by the task participants of what they should do. In other words, it is the learners who shift their goals and
prioritize certain areas-complexity or accuracy-and that what they choose to prioritize is different for different
learners, some prioritizing complexity and some others accuracy. As Skehan (2001) suggests, different
participants seemed to gravitate to different aspects of form.

2.3. Personality Factors: Anxiety

Foreign language (FL) anxiety is a complex, multidimensional phenomenon referring to the feeling of tension
and apprehension specically associated with second language [L2] contexts, including speaking, listening,
and learning (MacIntyre&Gardner, 1994, p. 284). Horwitz,Horwitz, and Cope (1986) identied three
components of FL anxiety: communication apprehension, test anxiety, and fear of negative evaluation.
Communication apprehension is a type of shyness characterized by fear of or anxiety about communicating
with people (p. 127). People who typically have trouble speaking in groups are likely to experience even
greater difficulty speaking in an FL class where they have little control over the communicative situation and
their performance is constantly monitored. Test anxiety refers to a type of performance anxiety stemming
from a fear of failure (p. 127). Students with test anxiety often demand more of themselves than they are
capable of achieving and worry about their performance. Fear of negative evaluation involves apprehension
about others evaluations, avoidance of evaluative situations, and the expectation that others would evaluate
oneself negatively (Watson & Friend, 1969, cited in Horwitz et al., 1986, p. 128). Like individuals with
communication apprehension, people who fear negative evaluation rarely initiate conversation and interact
minimally (Gregersen & Horwitz, 2002). Language students who experience this anxiety tend to sit passively
in the classroom, withdraw from activities that could increase their language skills, and may even avoid class
entirely (pp. 562563).
The studies revealed that anxiety exists in almost every aspect of L2/FL learning and that much of the
anxiety is associated with understanding and speaking the target language. Speaking publicly in the target
language is particularly anxiety provoking for many students, even those who feel little stress in other aspects
of language learning (Horwitz, 1995). Anxious students are less likely to volunteer answers or to participate in
oral classroom activities (Ely, 1986). They also engage in such behavior as skipping classes and postponing
their homework (Argaman & Abu-Rabia, 2002).
Qualitative studies have suggested that unwillingness to communicate and anxiety affect each other in
L2/FL learning. As a result of anxiety, English as a foreign language (EFL) and English as Second Language
learners often choose to remain silent and are unwilling or less willing than other students to participate in
speech communication in class; then, because of their silence and unwillingness to speak the language in

50
class, they become (more) anxious (Hilleson, 1996; Jackson, 2002; Liu, 2006; Tsui, 1996). Few studies to
date however have intentionally tried to examine these two factors in the same situation, either qualitatively
or quantitatively (Liu, 2006).

3. Methodology

3.1. Participants

The participants in this study were 20 female intermediate EFL learners aged 15 to 20, at one of the English
language institutes in Isfahan, Iran. All participants took the placement test required for being accepted to
study English in the institute. The participants were divided into 2 groups of 10. For one group the errors were
corrected immediately and for the other group with some delay, i.e. after finishing their speech.

3.2. Materials

The second book of New Interchange series, third edition (Richards, Hull, & Proctor 2005) which is taught in
most of the language institutes nowadays across Isfahan was taught during 30 sessions of an English class.
The students studied the first 8 units of the book in these sessions.

3.3. Procedure

As New Interchange series contain many topics for discussion, in order to carry out this research, 5 of these
topics were selected randomly and students were involved in discussing them. During the discussions, the
errors for one group (G1) were corrected immediately and for the other group (G2) with delay, i.e. after
finishing their speech. At the end of the term, each student was asked to discuss one of these 5 topics while
their voices were recorded. All the recordings were then transcribed in order to investigate the effects of each
type of correction on participants' complexity, accuracy, and fluency in speaking. Measures of accuracy,
fluency, and complexity were developed to evaluate the quality of the participants' oral production. These
measures were largely the same as those used in other studies (e.g. Crookes 1989; Foster and Skehan
1996; and Wendel 1997). Ellis (2003) defines the measures of CAF as follows (p 117):
Fluency measures: number of words per minute, number of syllables per minute, number of pauses of
one/two second(s) or longer, number of repetitions
Accuracy measures: number of self-corrections, percentage of error-free clauses, target-like use of
verb tenses, target-like use of articles, target-like use of vocabulary, target-like use of plurals, target-like use
of negation, ratio of indefinite to definite articles
Complexity measures: number of turns per minute, frequency of use of conjunctions, frequency of use
of prepositions, amount of subordination, e.g. total number of clauses divided by the total number of c-units
Also, a Foreign Language Anxiety questionnaire by Horwitz et al., (1986) was given to all the
participants at the end of the term in order to measure their level of anxiety while speaking English regarding
the impact of immediate and delayed error correction. Foreign Language Class Anxiety Scale (FLCAS)
measures three dimensions of FL anxiety: fear of negative evaluation, communication apprehension, and test
anxiety. There are 12 items (2, 3, 10, 13, 19, 20, 25, 30, 31, 33, 35, and 36) that indexed the rst FLCAS
component (FLCAS1), fear of negative evaluation. All the FLCAS1 items made reference to the fear of
making mistakes, or of being negatively evaluated in English classrooms, or both, and seven items (1, 9, 14,
18, 24, 27, and 32) reect the second FLCAS component (FLCAS2), communication apprehension, or fear of
speaking English in class. Two items (8 and 21) comprise the third FLCAS component (FLCAS3), test
anxiety, which entailed feelings about English tests. In this study, I chose just 13 of these questions which are
related to the first and second subcomponent of FLCAS as they are appropriate for the present study.

51
Students were asked to choose agree or disagree to answer the questions. One score was considered for
each positive answer and zero score for negative answer, i.e. disagreement.

4. Results

After transcribing the recordings, CAF measures were put to use. For fluency, all the measures mentioned
above were calculated but for accuracy, just the number of self-corrections, percentage of error-free clauses,
and target-like use of verb tenses were considered. Also for the complexity measures, the frequency of
conjunctions, frequency of use of prepositions, and amount of subordinations were considered. Mean and T-
test were applied to compare the results between two groups. The following tables show the obtained results:

Table 1. Fluency measures for groups 1 and 2

Fluency measures Mean Std. Deviation t Sig. (2-tailed)
G1 64.10 8.15 Number of words per minute
G2 74.90 7.54
-3.90 .004
G1 73.20 8.21 Number of syllables per minute
G2
86.60 9.09
-4.59 .001
G1 5.80 1.93 Number of pauses of one/two
second(s) or longer G2 2.60 1.57
5.23 .001
G1 9.30 2.79 Number of repetitions
G2 5.70 1.33
5.66 .000

Table 2. Accuracy measures for groups 1 and 2

Accuracy measures Mean Std. Deviation t Sig. (2-tailed)
G1 1.80 1.61 Number of self-corrections
G2 4.30 1.33
-6.22 .000
G1 52.80 12.26 Percentage of error-free clauses
G2 67.90 8.02
-4.07 .003
G1 1.13 19.97 Target-like use of verb tenses
G2 1.52 28.21
-4.30 .002

Table 3. Complexity measures for groups 1 and 2

Complexity measures
Mean Std. Deviation t Sig. (2-tailed)
G1 9.20 2.14 Frequency of use of conjunctions
G2 9.90 1.44
-.95 .363
G1 21.20 5.32 Frequency of use of prepositions
G2 21.90 5.13
-.29 .773
G1 69.20 12.32 Amount of subordination
G2 65.70 11.39
.59 .568

Also the results of Anxiety questionnaire are as follows:


52
Table 4. The results of the anxiety questionnaire

G1 G2
1. I never feel quite sure of myself when I am speaking English in my class. %60 %40
2. I dont worry about making mistakes in the English class. %30 %80
3. I tremble when I know that Im going to be called on in the English class. %58 %42
4. I start to panic when I have to speak without preparation in the English class. %73 %58
5. It embarrasses me to volunteer answers in my English class. %57 %30
6. I feel condent when I speak English in class. %40 %60
7. I am afraid that my English teacher is ready to correct every mistake I make. %80 %32
8. I feel very self-conscious about speaking English in front of other students. %25 %48
9. I get nervous and confused when I am speaking English in class. %49 %38
10. I feel overwhelmed by the number of rules I have to learn to speak English. %71 %53
11. I am afraid that the other students will laugh at me when I speak English. %81 %46
12. I get nervous when the English teacher asks questions which I havent prepared
in advance.
%83 %66
13. I get tense and nervous when I have to discuss things unfamiliar to me in English. %76 %45

5. Discussion and Concluding Remarks

Many researchers and language practitioners believe that the constructs of L2 performance and L2
proficiency are multi-componential in nature, and that their principal dimensions can be adequately, and
comprehensively, captured by the notions of complexity, accuracy and fluency (Skehan 1998; Ellis 2003; Ellis
and Barkhuizen 2005). CAF have been used both as performance descriptors for the oral and written
assessment of language learners as well as indicators of learners proficiency underlying their performance;
they have also been used for measuring progress in language learning.
This study investigated the effects of two types of error correction, i.e. delayed and immediate error
correction, on complexity, accuracy, and fluency of intermediate EFL learners. As the results of this study in
the previous part show, delayed error correction has positive effect on fluency and accuracy but not on
complexity. For G1, errors were corrected immediately and for G2, with some delay, i.e., after finishing their
speech. There were four measures for fluency. The result of t-test for number of words used by two groups
indicate that the second group with delayed error correction used more words per minute compared to G1
(MeanG1=64.1; MeanG2=74.9; p=.004). G2 also used more syllables per minute in comparison to G1
(MeanG1=73.2; MeanG2=86.6; p=.001). G2 had fewer pauses in speaking (MeanG1=5.8; MeanG2=2.6;
p=.001). Also, they had fewer repetitions in speaking which lead to more fluent speakers (MeanG1=9.3;
MeanG2=5.7; p=.000). All of these measures show that G2 had better performance compared to G1 and they
were more fluent speakers. Therefore, it can be claimed that delayed error correction had positive effect on
fluency.
As for accuracy, three measures were considered. G2 had more self-correction for their errors than G1
(MeanG1=1.8; MeanG2=4.3; p=.000). It means that G2 were more cautious about English rules and they
were more accurate than the first group. G2 also used more error-free clauses (MeanG1=52.80;
MeanG2=67.90; p=.003). Use of target-like verb tenses for G2 was more than G1 (MeanG1=1.13;
MeanG2=1.52; p=.002). Like fluency, delayed error correction had positive effect on accuracy.
Unlike fluency and accuracy, complexity did not improve with delayed correction. The reason might be
the proficiency level of participants in this study. They were all intermediate learners and could not use

53
complex grammatical structures frequently. G2 used more conjunctions and prepositions. However, the
difference between the two groups was not statistically significant and they used less subordination.
The results of the anxiety questionnaire indicate that G2 with delayed correction experienced less
anxiety in class and they were more relaxed to answer the questions or participate in discussions.
The result of this study which is on oral performance is in line with findings on writing. For instance,
Lalandes (1982) experimental group of U.S. students of German as a second language improved in
grammatical accuracy on subsequent writing after using an error code to rewrite, whereas the control group,
which received direct correction from the teacher, actually made more errors on the essay at the end of the
semester. However, the difference between the groups improvement was not statistically significant. On the
other hand, in
Frantzens (1995) study of U.S. college students of intermediate Spanish, both the grammar-
supplementation group receiving direct correction and the non-grammar group whose errors were marked but
not corrected improved in overall grammar usage on the post essay. Neither group showed significant
improvement in written fluency over the semester, however. All four of Robb et al.s (1986) treatment groups
of Japanese college students learning English improved in various measures of accuracy after receiving
different types of error feedback-direct correction, notation of the type of error using a code, notation in the
text of the location of error, and marginal feedback about the number of errors in the line. All of Robb et al.s
treatment groups improved in fluency and in syntactic complexity. Also Chandler, J. (2003) in his study
concluded that correction resulted in the largest increase in accuracy both for revisions and for subsequent
writing.
A final word here is that error treatment is not a new realm of study in SLA. When it comes to correcting
the learners errors, millions of ways might emerge according to what the philosophy of the teacher is, what
his or her attitude towards correction is, what method of teaching is being used and a host of other factors
which could play major parts in the game of correction. DeKeyser (1993) believes correction works in case of
high ability and also low-anxiety learners. Swains (1985) study also suggests that treatment of errors helps
students learn better, whether the feedback is explicit or implicit. There are myriads of ways to respond to
errors and it can be rightfully claimed that these different ways are inexhaustible. Likewise the attitudes
towards error correction seem to widely vary from extremely negative to the other extreme on attitude
continuum.
What this study suggests as a concluding statement is that correcting student' errors with delay, i.e.
after finishing their speech, can be of greater impact on the EFL learners at intermediate level to enhance
their speaking ability, i.e. it might be helpful in improving the fluency and accuracy of speech. Further
research is needed to investigate whether it has the same results for advanced learners and beginners or
not. Also other researches can be done to compare the effects on learners of different age and sex groups.

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55

Computer Assisted Language Learning and English Language
Teaching in Thailand: Overview

Attapol Khamkhien

Faculty of Liberal Arts and Science, Kasetsart University
E-mail: faasapk@ku.ac.th

Doi: 10.5901/mjss.2012.03.01.55

Abstract Currently, computer assisted language learning (CALL) is widely accepted to be a tool which can be used to facilitate
the language learning process, particularly English language teaching (ELT). The use of CALL has provided a powerful medium
for language learning from both teaching and learning perspectives. However, the integration of CALL programs in language
instruction requires a certain level of sensitivity and understanding of how to use the programs appropriately. This paper focuses
on using CALL in English classrooms in Thailand. It commences with an overview of the development of using computers in the
English classroom. Then, advantages and disadvantages of integrating CALL in English instruction are discussed. Next, various
types of learning activities that apply computer technology to English learning and instruction in the Thai context are presented.
Previous studies on the use and careful integration of CALL, contributing to success of teaching English and facilitating English
learning in the Thai context are explored. Pedagogical implications into teaching English with CALL as a tool are suggested.

Keywords: English language teaching; Computer assisted language learning; CALL; Thai learners.

1. Introduction

With the spread of English through information technology, trades, and education, English has become an
international language and has played a crucial in the communications of every country. In Thailand, English
is considered one of the major foreign languages taught in schools and academic institutions. All involved
parties have put great efforts to improve Thai learners English competence; however, their English
performance after being measured by national tests (e.g., Ordinary National Educational Test or ONET and
General Aptitude Test or GAT) or by any of several standardized tests such as TOEFL and TOEIC has been
far from satisfactory (Bolton, 2008; Bunnag, 2005; Prapphal & Opanon-amata, 2002; Wiriyachitra, 2001). This
unsatisfactory performance of students in English across levels indicates that, despite efforts from all sectors
concerned, English language teaching in Thailand has encountered slow progress. Therefore, educators,
teachers, administrators and curriculum developers must immediately pay attention in order to improve ELT
in Thailand. They must be keen to discern the most appropriate approach to teach English to Thai learners in
order for their English performance to meet the international demands, and be able to fully and successfully
participate in the international community. Because of the availability of computer and education technologies
in todays world, computers have entered and have strongly influenced our life in every domain of
communication. These technologies have become powerful tools to communicate with people around the
globe. They are faster, easier and more convenient to use than other older media. Specifically, the roles of
computers in language education are increasing worldwide. This is because learners of language, with the
use of the Internet, can simultaneously communicate with other learners or speakers of the target language
all over the world. According to Warschauer (1996), technology and the Internet play a vital role in teaching
the second and foreign language as an aid to the teacher. As is evident, a large amount of foreign language
materials available nowadays e.g., textbooks, program courses and dictionaries are included with and
supplemented by other media such as CDs, videos, which require computer and technologies.
In Thailand, thanks to the availability of information technology, lesson planning and connecting the
lessons to real world situations is much easily facilitated. Computer assisted language teaching has been
gradually adopted in language classrooms with the hope to improve the English language learning

56
achievement. This development is in respond to the demand for English language skills in the workplace. The
English language curriculum in Thailand has been, therefore, shifted from English as an elective to English
as a compulsory subject, with an emphasis on autonomous learning, independent work, and innovations and
new technology in English language teaching (Kanoksilapatham, 2007; Khamkhien, 2010). Thus, it is
undeniable that this scenario has affected all spectrums of English language teaching in Thailand from the
standard models of English, the goals and approaches in teaching and assessment, to teacher education and
development. As far as English language teaching is concerned, despite the roles of computer and the
Internet as an indispensable component of English language learning in Thailand, the inappropriate use and
some factors hindering English instruction from improving language competence and proficiency cannot be
overlooked. This article takes a look at its concept, particularly providing a global picture of how CALL
emerged in language instruction. It also highlights the advantages and disadvantages of applying CALL to
the success of language learning. Its roles in language teaching and learning, and specifically what types of
learning activities are more likely to be successful when applying computer technology to English language
teaching in Thailand, are proposed. Then, studies conducted on the use of CALL in the English classroom
are provided.

2. The Development of Computer Assisted Language Learning (CALL)

The emergence of CALL can trace back to the mid 1950s when technology began to be integrated into
language instruction. According to Davies & Higgins (1982: p. 3), the term computer-assisted language
learning (CALL) came from computer-assisted language instruction or CALI, reflecting its origins as a subset
of the general term computer-assisted instruction or CAI. The term CALI seemed to imply a focus on a
teacher-centered approach, whereas language teachers are more inclined to prefer a student-centered
approach. CALI, therefore, began to be replaced by CALL which focuses on learning rather than instruction.
Levy (1997) succinctly defined CALL as the search for and study of applications of the computer in language
teaching and learning (Levy, 1997: p. 1). It embraces a wide range of Information and Communication
Technologies (ICTs), applications, and approaches to teaching and learning foreign languages. Warschauer
(2004), Warschauer & Healey (1998), and Warschauer & Kern (2005) suggest that microcomputers that have
been integrated into language instruction, and have increasingly contributed to the enhancement of English
proficiency in all language skills. These CALL programs include virtual learning environment and Web-based
distance learning. They also extend to the use of corpora and concordances, interactive whiteboards,
computer-mediated communication (CMC), language learning in virtual worlds and mobile-assisted language
learning (MALL).
As for the development of CALL, Warschauer & Healey (1998) suggest that CALL can be generally
categorized based on three teaching methodologies dominant in ELT: behavioristic CALL, communicative
CALL, and integrative CALL.
Behavioristic CALL is recognized as the first phase of CALL. It was introduced in the 1950s and
implemented in the 1960s when the audio-lingual method was widely used in language instruction. Most of
CALL programs in this phase entailed repetitive language drills-and-practice activities. Taylor (1980) referred
to drill and practice courseware as a tutor presenting drill exercises without feed-back component. In this
regard, the computer serves as a vehicle for delivering instructional material.
Based on communicative approach, Communicative CALL, the second phase of the development of
CALL, emerged in the late 1970s and early 1980s. The focus of CALL in this phase is placed on using the
language or functions rather than analysis of language forms. According to Warschauer (1997), the first
communicative CALL software (e.g., text reconstruction and language games) continued to provide students
with language skill practice, but not in a drill format like in the first phase. In other words, computers provide
context for students to use the language, therefore, grammar is taught implicitly rather than explicitly, allowing
students create originality and flexibility in their output of the language. The computer, thus, functions as

57
stimulus, where the computer stimulates students discussion and writing through role-playing games.
Integrative CALL, the third phase of CALL, started in the 1990s. As described by Warshauer & Healey
(1998), integrative CALL was developed in an effort to address some criticisms of the communicative
approach by both integrating the teaching of four language skills into tasks to provide direction and
coherence and the development of multimedia technology. That is, CALL in this stage allows for a
combination of sound, graphics, text, and video presented in one computerized program together with
computer-mediated communication or CMC, and further facilitates efforts to teach the four macro skill
including listening, speaking, reading and writing (Hubbard, 2009). In this phase, the computer serves as tool,
in which the computer does not provide learning material, but empowers users to actually use language.
CALL in this period is regarded as a shift from the use of the computer for drill and tutorial purposed into a
medium for extending education beyond the language classroom. In other words, in integrative approaches,
students learn how to use a variety of technological tools as part of an ongoing process of language learning
and use, rather than visiting the computer lab on a once a week basis for isolated exercises.
In summary, the development of CALL corresponds theoretically to a certain pedagogical approach. Its
role has shifted from seeing its role as a tutor, a tool, to being as a virtual environment where learners can
collaborate and interact in a wide variety of activities and with people from around the world. Students can
explore, study, manage their own learning, and construct knowledge, according to their needs and interests
to facilitate their learning. The following section discusses some advantages and disadvantages of using
CALL programs in English language learning.

3. Advantages and Disadvantages of CALL in Language Learning

As far as English language teaching is concerned, it is believed that CALL is capable of overcoming some of
the limitation hindering the success of English language learning and teaching in a number of ways (Barson
& Debski, 1996; Chapelle, 1997; 2003; Salaberry, 1999; Warschauer, 1996; 1997; 2002; 2004; Warschauer
& Healey, 1998; Warschauer & Kern, 2005; Yang, 2008). These studies seem to yield congruent results
regarding the influence and effects of using CALL in language teaching on learners performance. In this
regard, computer assisted language learning or CALL has provided a powerful tool for language learning for
several reasons.
First, the use of CALL to support in language learning provides students with the authenticity of the
input. At this point, students can have an opportunity to interact in one or more of the four core skills, namely
listening, speaking, reading, and writing because they have to use or product text meant for an audience in
the target language, not the classroom (Garrett, 1982). Teachers can use CALL to provide easy and rapid
access to a variety of language learning resources and multimedia components of dynamic and authentic
input in all areas of language that teachers could not offer without additional teaching aids. Activities such as
problem-solving, information gap, language games, animated graphics are made available from CALL which
the teachers can let the students practice with the target language. With these authentic tasks, the students
have to actively interact with authentic contexts and negotiate meaning in the target language. As a result,
Skinner & Austin (1999) claim that students interest, motivation and confidence will be promoted, whereas
Warschauer (2004) asserted that one quantifiable benefit to increase motivation is that students tend to
spend more time on tasks when on the computer.
Second, in alignment with the output hypothesis as articulated by Swain (2005) and Swain & Lapkin
(1995), CALL, especially computer mediated communication or CMC, helps encourage foreign language
learners to produce comprehensible output. That is, interaction through CMC allows learners to receive input,
to use feedback to monitor their language, and to produce output that becomes input for other learners
(Egbert, 2004). Given the fact that the typical nature of Thai learners who are generally shy and easily
intimidated hinder the outcome of language learning, Thai learners being pushed to produce language output
through CALL, and not in the classroom, can be undertaken with some comfort and ease to a certain extent.

58
As a result, the use of CALL in language classroom basically help improve students self-concept and
mastery of basic language skills, more student-centered learning and engagement in the learning process,
more active processing, resulting in higher-order thinking skills and better recall, and gain confidence in
directing their own learning.
Third, since language learners have different purposes, and classroom teachers might not be able to
have ways of responding to their purposes, CALL is able to provide learners with the kinds of information and
support that they require to complete individual tasks and to respond to the diversity of learner needs even
within a single classroom structure. As such, Ahmad et al. (1985, p. 116) asserts that computers can provide
individual attention to learners who need to remedy and increase their ability, in order to find their own
proficiency level and to choose activities or tasks that suit their individual learning styles. Moreover, they can
repeat their lesson at anytime and anywhere they want in order to understand the whole lesson more
thoroughly (Suwannaprasert & Schmidt, 1998; Wang & Zhang, 2005).
Next, based on the theoretical framework of learner autonomy, CALL can be used to promote
autonomous learning. Since CALL allows students to focus on the development of their four macro language
skills, they can enjoy their own individuality because they can choose and determine their own level, pace,
and time of language practice and development. According to Fitzpatrick & Davies (2003), CALL can provide
the facility to design the learning activities in tasks and to accomplish the learning objectives in the first
instance. Then, by extension, learners can be able to design their own path in their lifelong learning process
by interacting with the learning environment and by making use of learning frameworks. As a result, if the
students can overcome the limitations of time and resources, their individualized learning process can be
maximized, leading to the development of learner autonomy.
In addition, learner-centered classes can be promoted by CALL. Warschauer & Kern (2005),
demonstrate that, while exposed to authentic and dynamic language tasks, learners are pushed to control
their learning time and effort to communicate with their partners, peers or class. Therefore, it is believed that
learners themselves can progress in their ability to learn by becoming aware of the processes through which
they learn, by conceptualizing their learning experiences, by being actively engaged in steering the process
and by taking responsibility for organizing their learning (Esch, 1996).
Despite the preponderance of advantages offered by CALL in language classroom, certain
shortcomings are not to be overlooked. Chapelle (1997) and Warchauer (2004) suggest that computer
technology should not completely replace the language classroom because disadvantages of CALL do exist.
Given that the limited exposure to the target language input produced by native speakers might be
compensated by the presence of the Thai teachers in an English classroom, English teachers play a central
role in a classroom of any discipline (Kanoksilapatham, 2009). The teachers are, therefore, considered to be
a resource person in language classroom, as the presentation or authentic input might not be easily
comprehended by low proficient learners or even relatively more proficient learners, without additional help
from teachers. Moreover, to effectively and successfully apply and implement CALL in language classroom,
teachers and learners need to be trained with, at least, basic technology knowledge and familiarity. They
might not feel at ease to adjust their teaching and learning styles and relatively rigid curriculum for CALL
authentic activities. In terms of language classroom, CALL might not be fully affordable and available to all
institutions because of the relatively high cost of appropriate computer technology and efficient network
system in class. In this regard, a lack of appropriately-educated persons as a classroom helper is another
concern. According to Lian (2002), in Thailand, there are relatively few persons have an in-depth
understanding of theoretical issues of language-learning and teaching as well as programming skills and the
ability to develop large-scale coherent infrastructures for language-learning and teaching. These reasons
might be inherent problems hindering CALL application to a language classroom.
Although CALL has some disadvantages, it is believed that CALL has great potential for use to facilitate
the English language teaching and learning in Thailand. To maximize the benefits of existing CALL programs
or materials, teachers and involved parties need to be informed about the options of the implementation and

59
application of CALL and how CALL can be integrated into Thai teaching situations or learning context.
Finally, with relevance to the theme of this paper, and particularly in the English language teaching context of
Thailand, CALL materials, if well selected, seem to satisfy the three major functions of output. That is, CALL
materials provide the initial and quality input for noticing to take place, a forum for learners to test how
English works, and the means to reflect the quality of the language output.

4. Educational CALL Programs and ELT in Thailand

With the arrival of the Internet, the computer has been transformed from a tool for information procession and
display to a tool for information processing and communication both in the society and in the classroom
(Sperling, 1998). In response to the rise of the Internet, the Thai government has put a great effort to improve
the quality of English language teaching in several aspects. The implementation of the 1999 National
Education Act, has prompted a major reconsider in the education sector in terms of both teaching and
learning methods, as well as in learning environment. In this regard, since the Ministry of Educations ICT
Masterplan seeks to support Thailands learning society aspirations by enabling all Thai students to
experience the benefit of ICT, in response to this plan, the emphasis of current English curriculum is placed
on independent work, autonomous learning, innovations and new technology in English language teaching
(ELT), such as self-access learning, performance standards of general English as well as English for
academic and specific purposes (Wongsothorn et al., 2003).
Moreover, the Ministry of Education has also put strategies by supporting involved parties to create
opportunities to enhance access to, and improve the standard of e-learning media through collaborative
initiatives to develop information in form of e-contents through different learning media and the promotion of
the use of ICT to support personalized learning in line with different learning needs (Bureau of International
Cooperation, 2008). At this point, developing ICT tools and infrastructure to establish and enhance effective
educational management was implemented by National Electronics and Computer Technology Center
(NECTEC) to serve the National Educational Act since 1995 (Intratat, 2007). Moreover, the Ministry has tried
to increase and develop in number of ICT personnel to become ICT professionals and enhance the ICT skills
and potential of basic personnel in society to support the development of electronically enabled and
empowered knowledge and learning societies.
Although the Thai government has made efforts to improve the quality of English language learning of
Thai learners through the use of computers and the Internet, a number of factors are responsible to the
failure of integrating CALL in English classrooms. For example, in a survey on the behavior of 20,000 Internet
users conducted by Kerdboon (2004) it was found that Thai teenagers tend to use the Internet for
entertainment, particularly on-line games. For teachers, a large class size (45-60 students), and inadequately
equipped classrooms and educational technology should be taken into account. In rural or remote areas,
using CALL materials with the Internet is still limited due to budget allocation (Wiriyachitra, 2001). Therefore,
the project to integrate CALL and English language teaching in Thailand cannot be said that the program has
met expectation in the educational context at the national and international levels. Common educational
CALL programs used in the Thai context include Tutorial Programs, Drill and Practices, Demonstration,
Simulation, Games, and Testing. Tutorial programs are responsible for collecting, presenting and guiding
information, teaching rules, as well as teaching problem-solving techniques to students. It presents
information in small units with sentences, graphics, and sound. Students can learn content through
questions. When the students answer, they receive immediate feedback. If their answer is incorrect, they will
be helped with corrective teaching tutorials. This kind of program seems to be very popular for students and
teachers because it provides exercises and tests in the same module.
Drill and Practice is to review the content background knowledge, and to assist students to master their
language skills such as reading, listening, etc. Providing stimulus, receiving active response from the
students, and giving immediate feedback are core steps of this program. The questions will be repeated

60
many times, as well as an explanation on why the answer is correct or incorrect is available. The function of
drill and practice is to provide appropriate practice and students can use their background knowledge of the
lesson in order to answer questions as well as solve problems effectively.
Demonstration teaching and learning through computer based instruction is very helpful with self-
directed learning. With self-directed learning approaches, students will be encouraged to learn by
themselves. Particularly, they will gain more experience in meaningful contexts. However, it is recommended
that the teacher provide students with opportunities and a rich learning environment for students to develop
their abilities to think independently, and to self-manage their own activities in order to construct knowledge.
Simulation or so-called problem solving is used, aiming to raise students critical thinking, discussion
skills and writing abilities. By using real life situations in order to make the learning context more realistic,
students are challenged to solve problems, which are mostly entertaining and educational.
Games are used to provide a rich learning and teaching environment. Generally, good educational
games should have clear educational objectives. The definition of simulations and games are somewhat
similar. Simulations imitate reality, whilst games may not simulate reality. Students are able to gain
knowledge about rules, processes as well as other skills from the games. The major characteristic of
educational games is entertaining, which students can enjoy themselves while practicing their language
skills. At this point, games sometime are called entertaining games or edutainment.
Testing is a tool for assessment and a method to determine what students know and do not know. It
can take the form of an informal quiz or a formal evaluation. There are various types of computer-based
learning tests. In order to help students learn, the test should be appropriately selected, related to the
objective of each lesson for the students. As a result, the students will enjoy learning environment and
succeed in their studying. In short, testing is used for helping students feel independent as the test format
and structure are less formal than the traditional one. Additionally, the students might feel at ease while
taking the tests.
The activities illustrated above, not only course software based CALL but also online programs,
including web-based learning, learning management system, multimedia courseware, online communication,
online assessment and online feedback, which the Internet and network system are required for running
these programs. However, online programs are not probably viewed as ideal for CALL into English language
teaching. In this regard, an attempt to try to develop and use CALL programs in the classroom in the Thai
context continuously appears in a number of studies. The following sections present some studies that are
known to determine the success and failure of developing CALL programs in English classroom.

5. Studies on CALL in the Thai Context

The rapid technological advances of the 1980s have raised both the expectations and the demands placed
on the computer as a potential learning tool. With the hope to improve Thai learners English proficiency,
previous research on CALL was mostly designed to show comparisons of learning outcomes form a control
group with those obtained from an experimental group (e.g., Intratat, 2007, 2009; Maneekul, 1996;
Phongnapharuk, 2007; Thongtua, 2008). These studies conducted in the Thai context have congruently
emphasized the importance of CALL and teaching English in four macro skills.
Maneekul (1996), for example, tried to determine the effects of normal instruction supplemented by the
computer-assisted instruction program and only giving lecture on achievement and attitude scores of Thai
vocational students. The study showed that that normal instruction supplemented by CALL improved
achievement and attitude scores. Similar to Intratats (2007) study, her study focused the importance of using
CALL in classroom practice. Using self-created questionnaires with 167 Thai university students and 70
lecturers asking about English CALL materials, the results reflected that the participants appreciated most the
advantages of using CALL materials, particularly freedom in studying. However, some problems in using
CALL had arisen. For students, time consumed loading the program was the largest problem, while the

61
development of CALL programs was seen to be the greatest disadvantage of CALL in the lecturers view.
The results seemed to suggest certain advantages of CALL. Educational administrators should support the
use and development of CALL for learner autonomy and life-long learning. Then, Wong-a-sa (2010)
employed questionnaire and observation techniques to investigate the effectiveness of using supplementary
task-incorporated learning activities in CALL courseware. The results of this study showed that with the
modified task-incorporated CALL courseware and a set of classroom activities, students interaction and
participation greatly increased. Furthermore, it was found that students positive learning attitude towards
CALL programs was shown. In this regard, Wong-a-sas suggestion is that, to promote classroom interaction
and learning motivation, the designed CALL courseware should be seen a suitable teaching material.
The effects of CALL on improving Thai students reading skills attracted a wide range of studies.
Phongnapharuks (2007) study, for example, investigated the relationship between students English reading
comprehension and summary writing ability and self-directed learning before and after being taught through
the metacognitive strategies via computer-assisted language learning. After being taught through the
metacognitive strategies via computer-assisted language learning, 25 high school students were tested and
completed a set of questionnaires. The findings revealed that the students English reading comprehension,
the summary writing ability and self-directed learning were increased at good level after being taught through
the metacognitive strategies via computer-assisted language learning. Thongtuas study (2008) also
considers the development of reading skill abilities. In order to improve students English reading
comprehension, Thongtua (2008) developed CALL reading comprehension program, achievement tests and
attitude questionnaires, and tested with 20 high school students. The results revealed that the students
studying the CALL program had significantly highly achievement than those who studied the hard copies or
supplementary textbooks. It was also found that the students showed positive attitude towards using CALL
program in learning English. In accordance with Torut & Torut (2002), they designed and developed a
multimedia CALL material for graduate students. The results indicated the students learning through
multimedia CALL program and textbook outperformed those learning through a textbook alone in the final
reading comprehension test. Moreover, positive opinion on the use of multimedia CALL software was found.
Likewise, Banditvilai (2000) discovered that learners increased their motivation when they used the Internet
as an integral part of reading courses, enabling them to develop reading skills and enriching vocabulary. In
short, as can be seen, although there is no standardized test to measure how Thai students improve their
English proficiency, these studies reflect that applying CALL to the English instruction can enhance Thai
students reading abilities in a certain extent.
CALL also has a useful contribution to the development of oral skills if students make full use of it
wisely. Concerning pronunciation and speaking skill development, Yangklang (2006) used a CALL program
to investigate the improvement of English pronunciation, particularly final /-l/ pronunciation of 40 Thai
students. These students were divided into two groups, good and poor pronunciation abilities. The result
indicated that pronunciation abilities of both groups of these students were significantly improved after using
the CALL program. Moreover, they had positive reactions towards the use of CALL program for improving
their pronunciation. Meanwhile, to improve business English students listening and speaking skills,
Kaewphaitoon (2003) developed an English language learning computer application. It was found that the
students had positive attitudes towards using the computer program as it helped them improve their listening
and speaking skills. Moreover, Kaewphaitoon conclusion indicated that, from classroom observation, this
group of students gained more confidence in listening and speaking.
As for English grammar, Tongpoon (2001) studied the development of grammar CALL courseware on
phrasal verbs for first year English major students. Using an achievement test, a questionnaire and an
observation form, Tongpoon found that these students had positive attitudes towards CALL as their English
performance, after studying with the computerized lesson, substantially improved. The result also showed
that the developed courseware was efficient in enhancing language learning. Designing CALL materials with
include self-access supplementary exercises, Intratat (2003) evaluated the effectiveness of these CALL

62
materials on how students deal with English grammar. Students scores on a pre-test and post-test were
measured and compared. The results revealed that the post-test scores were significantly higher than those
of the pre-test, showing students development in proficiency performance. Although some aspects of the
characteristic of these exercises and tests were not explicitly described, yielding the generalization of the
results, this finding can show how CALL is applicable to educational principles involved instructional design in
the Thai context.
Writing skill is another area where CALL has added a great deal of value. CALL can help the students
in doing correction of grammatical mistake and give some suggestion for certain expression. Intratat (2009)
developed a self-access CALL material to improve English writing skills for Thai undergraduate students.
After evaluated by 100 Thai university students, the results from the questionnaire revealed that exercises in
levels of difficulty, explanation of grammatical features and examples, vocabulary games, authentic
illustration, test scores, to name a few, could help them to improve their English writing ability. Gubtapol
(2002) explored what editing strategies Thai students and how they used their strategies with word
processing programs to improve their English writing. Through observation, interviews and document
analysis, the finding revealed that the use of word processing programs helped the Thai students improve
their writing skills in several aspects: capitalization, singular and plural forms, subject-verb agreement, and
punctuations. The study also showed that basic word processing features such as the spelling check and
grammar check helped the students when writing English.
Listening skill is another area with empirical research conducted. Shen et al. (2007) employed
questionnaires and interviews techniques to investigate Thai university students attitudes towards using
websites for practicing listening skill. It was found that websites provided various topics which the students
could choose the topics they prefer and or those related to the topics they were studying in English class.
Moreover, with the use of the Internet, they could easily repeat listening material for several times until they
finally got information, helping them improve comprehension and enhancing their listening skills. In
accordance with Puakpong, (2005) who developed CALL listening comprehension program, and then used
with twenty Thai university students from different proficiency levels. The results revealed that the
participants performed better than their peers in the same proficiency levels in both midterm and final
examinations although the difference was not at a statistically significant level. However, posttest scores
were better than those of pretest at a statistically significant level in most aspects except in case of the global
ideas. As is clear from the studies above, it can be seen that previous studies conducted in the Thai context
include the four major English skills. Most of the previous studies have investigated how the effectiveness of
the use of CALL courseware to develop and enhance students English skills. In addition, these studies also
indicated that the tasks or activities in the program can motive students positive attitude in English language
learning. However, most researchers prefer to use self-created CALL programs which suit a particular group
of students, context and area they conduct the experiment. At this juncture, the researchers did not interpret
the results in terms of which particular programs to be used in language learning, leading to the inconclusive
results as to the potential of technology for replacing some aspects of classroom instruction. Therefore, these
criticisms of this line of research can lead to the limitation of the generalization of the results of these studies.
As suggested by these studies, future research is substantially needed to investigate different CALL software
packages, characteristics of an effective CALL program, the effects of CALL on language achievement and
attitude, background knowledge, more levels of independent variables, and a case study with larger
population in the Thai context.

6. Conclusion

CALL has emerged as a tempting alternative to traditional modes of supplementing or replacing direct
student-teacher interaction, such as the language laboratory or audio-tape-based self-study. This paper
primarily highlights and illustrates the potential role that CALL programs can play in language classrooms as

63
an important teaching aid or tool of instruction. This paper discusses at length why CALL is important in the
area of language teaching and learning situation, including the development of CALL in language instruction,
teacher and learners expectations, program design, and applied methodologies. Strengths and weaknesses,
opportunities and threats of both functions, particularly in the Thai context are also highlighted.
Although the utilization of CALL in language instruction is beneficial, heavy reliance on CALL cannot be
healthy (Kanoksilapatham, 2009). Indeed, CALL should not be considered a replacement or substitution for
classroom teachers. As suggested by Kanoksilapatham (2009), it should be recognized as an adhoc
supplementing or reinforcing what is instructed in language classroom. This article also attempts to forge
Thai English teachers to try to maximize the opportunities offered by technological advances. Given
substantial exposure to the language input through authentic tasks and activities, and enhanced sensitivity to
language practice, learners should be able to appropriately determine and practice their language skills from
which to extrapolate different CALL tasks. Then, it is believed that the learners will be able to make valid
generalizations from individual cases. Therefore, teachers have to make the decision to use technology as a
part of their language learning environments and ensure that they are familiar with the technological options
available and their suitability to particular learning goals and thus implement these technologies capitalizing
their specific features. For Thai learners, they need to be able to continuously use, experiment and evaluate
appropriate and meaningful CALL activities to enhance English proficiency and master English language
skills which is the goals of language learning.

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65

Modernism in Late Ottoman Empire and in Early Turkey

Ylmaz imek

Ankara Emniyet Mdrl
ysimsek@yahoo.com

Doi: 10.5901/mjss.2012.03.01.65

Abstract Methods in public administration have changed by the changes and improvements in society and its understanding of
administration. These changes and improvements need new ideas and imaginations to break routine understanding of
administration. A fashionable way of administration a century ago can be dated today unless it has dynamics rather than
bounded rules. This paper explores the experiments of modernity both in late Ottoman Empire and early Turkish Republic. It
focuses in particular on continuity rather than change by the name of modernity.

Keywords: Experiments of Modernity, Public Administration, Change, Ottoman Empire, Turkish Republic.

1. Introduction

Methods of public administration are the product of those who came before us. Thus, it is very important to
know the historical change of a countrys administration system. The evolution of modern public
administration thinking begins in the 19
th
century and rose during the 20
th
century. Those centuries had
witnessed a change in administration structure of the Ottomans as well. They tried to keep up with their
counterparts in Western Europe.
After realizing that they were losing power, Ottomans first, tried to reform in public bureaucracy and
military; however, those changes were not enough to keep up with their counterparts in Western Europe.
Also, the traditionalists were opposing to the new reform experiments. Therefore, reformists could not be able
to manage their reforms until the new republic of Turkey in 1923.
Both the late Ottomans and the founders of the Turkish Republic expected a rational democracy. Their
ultimate goal was to enable to catch up with the Western modernization. They thought it would be possible
only by trusting on centralization of power and creating a new kind of nation, thinking logically. In this article,
first, the concept of modernism will be examined. Then, a particular attention is given to its applications in late
Ottoman Empire time, in Turkeys early republican term under the authority of Ataturk, and in Turkeys single-
party period. Finally, a conclusion to show the similarities and continuity in experiments of modernization in
those terms is made.

2. Modernism

Modernist public administration starts with desires. The practicalities of it can be traced back to thousands of
years ago, across cultures, and in different nations in the world (Vigoda, 2002). All of them used power and
authority as the most efficient control system for individuals, governmental institutions, and processes. By the
time past, using only power and authority were not enough to solve organizational problems, so administrator
faced administrative problems such as how to achieve greater efficiency, effectiveness, economy, and how to
satisfy the needs of the people (Vigoda, 2002). Later, they prefer to be rational to overcome these problems.
Modernity is centered on rationalization, and sees the system as a machine (Farmer, 1995; Weber,
1978). According to Weber (1978), increasing rationality means more happiness and greater morality. He
characterizes it as the separation of the substantive reasons in religion into three spheres: science, morality,
and art (Farmer, 1995). Starting with the Enlightenment in the sixteenth and seventeenth centuries, it has

66
constituted the leading mind-set of the Western assumptions and beliefs about the power and nature of the
human subject and human reason (Farmer, 1995, p.5). It understands the range of reason not to be limited,
and refuses all traditional powers and conditions with the result of more freedom and opportunities (Farmer,
1995).
The basis of modernity, as they apply to management, are the domination of means/end reason, the
separation of facts and values, the use of the scientific method to solve public problems, the declaration of
universal values, the belief in applicability of basic principles underlying the social and political worlds, the
faith in progress (John, 2004). For public administration, these principles mean application of the principle of
specialization, dominance of hierarchy in organizations, and emergence of large line bureaucracies which are
the means of transforming social action into rationally organized action (John, 2004; Weber, 1978). As Max
Weber (1978) mentioned, the development of bureaucracy is one of the important rationalizing mechanisms
of society.
In order to make organizations efficient, modernist public administration gives importance on
rationalism; therefore, it rises of the bureaucratic form of organization, and creates an administrative
technology. Weber (1978) divided it into value-rationality, which is concerned with ends, and instrumental-
rationality, which is concerned with means. For him (1958), the bureaucrat is one who occupies himself with
the rational efficiency of means, not the question of ends. He identifies it with an increasing division of labor,
bureaucracy and mechanization, and associates it with depersonalization, oppressive routine, rising
secularism, as well as being destructive of individual freedom (Gerth and Mills, 1946).
Modernization also requires administrative efficiency. It is indispensable for the progressive officials and
academics that created the modern discipline of public administration. It is somewhat related with economics
and economic systems (Farmer, 1995). Achieving greater efficiency through the elimination of overlap and
duplication of functions will greatly improve the operation of government agencies and increase the
legitimacy of government in the eyes of citizens (Simon, 1997).
After the World War II, logical positivism was fashionable; thus, most of the modernists saw their charge
to create a science based social technology that would enable prediction and control of human behavior. It
was a desire to make organizations more effective. They believed the practice of administration could more
efficiently allocate the public's scarce resources (Gulick and Urwick, 1937). According to Taylor (1911) the
best management depends on true science defined laws, rules, and principles. He argues scientific
management enables both labor and management most productive as Weber talks of bureaucracy in relation
to tradition. Taylor emphasis on time measurement and task analysis; however, he does not emphasis on the
human factors within the organizations. According to Simon (1997), administrative principles such as "span of
control", "centralization", "hierarchy", etc. were nothing more than terms of art, filled with contradictions, and
of little use as guides to action. He seeks to accomplish goals of enhancing efficiency through improved
approaches to administrative decision making.
All administrative scientists sought universalism for public administration as a science (Farmer, 1995).
For them, objective observation generates data about social behavior in order to make and test theories,
laws, and generalizations (Simon, 1997). They all had trouble with identifying a moral grip for core values
because, at the core of this science was the need to separate facts from values (Farmer, 1995).
Modernity has strong rules and regulations that restrict creativity and imagination. These restrictions,
usually, can be seen as discipline, specialization and autonomy (Farmer, 1995). Henri Fayol (Gulick and
Urwick, 1937) describes fourteen principles of administration; half of his principles are based on
administrative control, like authority, discipline, unity of command and administration, centralization,
hierarchy, order. An increasing anxiety about control and accountability of public administration has led to
more extensive and complex controls which have increased bureaucratic distance between administrators
and the public they are expected to serve (Jones, 2000). In order to maximize consistency and control, harsh
bureaucracy led to dehumanized relationships among personnel, and has negative results like iron cage
explained by Weber (1958).

67
Critical theorists, like Habermas, view modernity as an unfinished project, and postmodernists see it
limited with particularism, scientism, technologism, enterprise, and hermeneutics (Farmer, 1995). In each five
area modernist public administration faces with paradoxes and blind spots that limit its capability for
explanation and understanding (Farmer, 1995). For example, decision making in modernist public
administration is not aware of any good but efficiency. It may be useful to public administrators to spot
problems truly and to lay down effective solutions to those problems; however, real problem solving also
raises questions of value --right and wrong. Therefore, ethic and morality ought to play an important role in
the conduct of the public's business.

2.1. Modernism in Ottoman Empire

In the 15
th
and 16
th
centuries, the Ottoman Empire was one of greatest empires of the world, located from the
Caucasus to the Balkans to North Africa. Starting from the end of the 16
th
century to the end of the 19
th

century, it lost momentum slowly (Heper, 2000). During this term, the emperors showed signs of losing their
dominant position in the polity; whereas, religious institutions and the military gained power in administration
(Heper, 2000).
At the same time, the intellectual, economic and technological transformations were taking place in
Europe, but the Ottomans remained oblivious to these developments. At the end of 18
th
century, they realized
that they were declining and losing power. Because of this decline, they made great efforts to regain the old
governmental power and structure, but this strategy did not prevent them from losing power.
In order to change the Empires structure, they, first, tried to reform in public bureaucracy and military
(Heper, 2000). They tried to change them as their counterparts in Western Europe. However, these reform
experiments were faced opposition from the traditionalists, especially Islamists, so they were not able to gain
control over the country until the new the Turkish Republic in 1923.
The whole Ottoman political system was designed to eliminate rivals to central power (Kongar, 1986).
The warriors, who were opposed by eclectic popular culture, heterodox religious sects and threatening rival
principalities were formed the state (Heper, 2000). Maintaining law and order within the country and keeping
the dominion together were the most critical concerns of the government (Heper, 2000). An Ottoman
statesman and historian, Tursun Beg, states that harmony among men living in society is achieved by
statecraft (Inalcik, 1964, p.42). This had been an Ottoman maxim since the 15
th
century. This maxim led the
Ottomans to concentrate power of the emperor; therefore, the Empire's political organization was marked by
personal rule of the emperor. Consequently, laws made by emperors were not considered permanent
(Inalcik, 1964). Thus, adab tradition which identified the state with established values, not with the reigning
ruler was appeared (Findley, 1980, p.9). For example, in the Decree of Alliance (Sened-i Ittifak) of 1808, the
state," not the emperor, was mentioned as a part to the pact between the central administration and local
notables (Inalcik, 1964). The Ottomans could not completely separate the state from the emperor, but the
state always constituted an important part of the Ottoman political culture because they believed that the
happiness of the people depended on the well-being of the state (Heper, 2000).
The Ottoman Empire was itself a European power in the continent, and as early as the beginning of the
19
th
century, the reformist emperors wanted to modernize it by adopting the Western, especially French,
structures, behaviors and customs (Rouleau, 1993). Before 19
th
century, sons of high officials were enjoyed
a definite advantage over common people in terms of permission into the system (Gerber, 1994). In order to
change this understanding and modernize the country, Ottomans sent many people to Western Europe to
learn their system. Thus, European educated civilian bureaucratic elite was appeared in later decades.
In the early 19
th
century, members of the other religions, Jews and Christians, were granted cultural
rights and permitted to organize their own systems (Heper, 2000). By creating a department of the Chief Mufti
religion was bureaucratized, and the religious Canon Law (Shari'a) and secular statues (orf-i sultani) were
formulated (Aktay, 1993; Heper, 2000). Then, the modernizing emperor Sultan Mahmut II, together with the

68
civilian bureaucratic elite, could push the members of the religious institution and abolish the rebellious
Yeniceri (Janissary) Corps as a first step in which they projected to train "modern" officers for a "modern"
army (Heper, 2000). After the reforming the army with the Western model, the emperorship was started to be
seen as a barrier to "modernization" by the new formed military elite educated in Western Europe. These new
bureaucratic and military reforms enhanced the dichotomic social sets: executive elite, and the common
people; however, the stability of Ottoman economic growth disallowed the rise of any more powerful class
such as the bourgeoisie (Kongar, 1986).
There had been a Western impact in the Empire with the Enlightenment. French Revolution, together
with Enlightenment, became effective for the idea of the salvation of the state which was sought in the sphere
of political thought (Kongar, 1986). By the 1839 (Tanzimat) reform, the announcement of civil rights to all the
citizens regardless of race and religion, the modernizing high-level bureaucrats, who trained in modern
technocrat schools set up by emperor Abdulhamit II, resorted to personal rule which changed the way of
understanding bureaucracy, an amassing wealth by abusing or usurping state powers of the Empire (Heper,
2000).
The Tanzimat reform was not only a systematical legalization of the minority rights, but also a critical
empowerment of the central bureaucracy (Kongar, 1986). Personal knowledge, predictability, meritocracy,
and professionalization were exist and highly important (Gerber, 1994). Although the earlier center of the
state was the emperor, the elite, who were educated in Western Europe, took over much of this role in the
beginning of the 19
th
century. Elite became increasingly familiar with Western, especially French, culture
while the people continued with their traditional, Islamic customs and norms. Consequently, the cultural
distance between normal citizens and the elite was increased.
At the end of the 19
th
century, the elites undertook the task of saving the Empire (Kongar, 1986). The
Young Turks neutralized the Old Ottomans and initiated the First Constitutional Period, which lasted from
1876 to 1908 (Heper, 2000). They used Young Turks in their name to symbolize their nationalistic view
because they believed nationalism lays in the basis of modernity. For them, congress was not a place for
representation, but a place for elite discusses to fight of enlightened opinions led to create the best policy
(Lewis, 1961). They took positivist sociology to make public authority on social, religious, moral and political
problems (Lewis, 1961).
The decay of the Ottoman Empire was very fast in the 19
th
century. Industry was hardly established,
and there was not any main productive layer or civil society inconsistent with the feudal system as
bourgeoisie in Western states; therefore, the leadership of the first revolution in 1908 was composed of army
officers called Young Turks --mostly journalists, mid-level bureaucrats, and military elites (Leicht, 1998).
They governed Ottoman politics between 1912 and 1918 (Heper, 2000). They sought rationalism to be
efficient in their control.
Young Turks were mostly studied in Western Europe, and they become familiar with the regime existing
there (Leicht, 1998). To legitimate their own elite look, they got the social engineering aspect of Auguste
Comte's sociology which provided the knowledge for political authority; however, they still thought that the
salvation of society depended on the welfare of the state (Heper, 2000). Aiming a western-like country, they
formed the Party of Union and Progress, and worked for bureaucratic reform (Kongar, 1986). After getting
the government power in 1912, they entered the 1
st
World War alongside the German Empire. At the end of
the war, the Ottoman Empire, like Germany, was defeated by Britain, France and Italy (Leicht, 1998). Then,
the allied (British, French, and Italian) forces terminated parliament and unseated the Young Turks; this
caused the rise of Mustafa Kemal (Candar and Pryce-Jones, 2000).
The memory of the fall of the Ottoman Empire vitalized and enforced concern for national unity as a
continuous emphasis on the need for being one and together. This over-emphasis on harmony was the
main obstacle to the emergence of adversarial politics in early days of Turkish Republic; therefore, as in the
Ottoman time, personal rules characterized politics during the first years of the new republic (Heper, 2000).


69
2.2. Ataturk Era

Mustafa Kemal Ataturk, born in Selanik in 1881, served in Syria, Libya, and Bulgaria as a military officer in
the Ottoman army (Kazancigil and Ozbudun, 1981). When the 1
st
World War ended, the armies of the allied
forces, together with the Greeks, occupied nearly all parts of the Ottoman Empire. He did never give up, and
collected the leftovers of the Ottoman army. He and his friends wanted to establish a Republic as opposed to
the Ottoman Monarchy, so they chose Ankara as headquarter for its central location. Then, they started the
War of Independence and the seeds of a new country from there. The War of Independence took three years
and by the end of 1922, all of the invaders had left the country. In 1923, Mustafa Kemal was declared as the
president of the new Turkish republic. The Emperor of the Ottomans was allowed to continue as Caliph
(lieder) of the Muslims. Later, he was sent into exile to Paris and died there in 1944 (Candar and Pryce-
Jones, 2000). The new government was attracted to rationalism in its decision making process to seek
practical solutions for its problems on the basis of knowledge and experience.
The philosophy behind Ataturk's reforms is now known as Kemalism. The heredity of the Kemalism can
be traced back to the Young Turks the Union and Progress party; the declaration of the constitution, the
nationalism, the emergence of secular organizations, and the creation of political parties were among the
reforms of the Union and Progress

(Kongar, 1986). Modernization, economic growth, and Westernization
were the basic driving forces of Kemalism (Noel, 1995). It emphasizes a modern country, with its own
national culture, open to the heritage of world civilization and modernization. It, first, appeared as the
introduction of the rights to the nation, and as the expression of the national sovereignty. It was a challenge
to reach the level of modern civilization and an attempt to modernization. It requires experiencing a modern
social life, establishing a secular state, and governing with a positive scientific mentality (Kazancigil and
Ozbudun, 1981).
Kemalism got some motivations from both French and the Soviet models. From the French the concept
of a centralized state, the secularist idea, and state nationalism rather than ethnic or religious identity, and
from the Soviets, it adopted a single-party regulation, in its early times authoritarian structure and an etatist
economic system (Rouleau, 1996). Ataturk, first, declared his basic principles [of Kemalism] as the principles
of the Turkeys first and single-party, Republican Populist Party (RPP). Those six basic principles were
written into Article Two of the Constitution of the Turkish Republic in February 1937:
1. Republicanism
2. Nationalism
3. Populism
4. Etatism (Statism)
5. Secularism
6. Reformism (Revolutionism)
Kemalism also has secondary or complementary principles which includes:
1. National sovereignty
2. National independence
3. National unity and togetherness
4. Peace at home peace abroad
5. Modernization
6. Scientificism and rationalism
7. Humanitarianism

Republicanism refers a political reform from the system of the Ottoman multinational monarchy to the nation
state of Turkey (Akarsu, 1995). Kemalism believes that republican regime is the best to characterize the
wishes of the people. The new Turkish republic was not only an administrative replacement of Ottoman

70
Empire, but also an explicit new national identity which defined a new vision of nation through the nature of
the state (Cooper, 2002).
Nationalism is a principle which believes the Turkish state is an inseparable one piece comprising its
land and people. Also, it makes Turkish people not only citizens of the state but also members of the nation.
As an umbrella, it covers elements of national consciousness, identity, and loyalty. The homogenous nation
in Kemalism dedicated to modernity (Rouleau, 1996). It was not racist (Kazancigil and Ozbudun, 1981). As a
modernist action, it is against all traditional powers and imperialism. It also refuses the rule of any particular
social class over Turkish society. It means to preserve the independence of the Turkish Republic, and to
respect the right to independence of all other nations. It is based on ultimate value of Turkish citizenship as a
kind of realization of national identity of modern Turkey (Heper, 2000).
Ataturk reinvented Turkey on the model of a nation-state. Creation of a new version of Turkish
language, and rejection of the Muslim religion as a basis for government were placed a national entity
(Cooper, 2002). Mustafa Kemal Ataturk did not just seek modernizing the Turkish nation; he, at the same
time, had to make a nation out of the people who lived within Turkey's borders. A kind of Turkish Anatolian
nationalism was invented. All who lived within the borders of Turkish state were expected as Turks (Noel,
1995).
Populism is a policy in the interests of the people and the denial of class contradictions (Kazancigil and
Ozbudun, 1981). It is against class privileges and class distinctions and it recognized no individual, no family,
no class and no organization as being above others. Ataturk stated that the true rulers of Turkey were the
peasants (Akarsu, 1995). Populism also includes a revolutionary change in the status of women through the
adoption of Western codes (i.e. the Swiss Civil Code) in Turkey.
Ataturk stated that Turkey's complete modernization was dependent on economic and technological
developments (Kazancigil and Ozbudun, 1981). Etatism or statism can be interpreted to mean that the state
regulates the country's general economic activity, and engages in areas where private enterprises are not
willing to do (Akarsu, 1995). This principle was based on the needs of the new Turkish Republic because the
number of entrepreneurs, in that time, was not adequate for national interests. Therefore, statism was the
necessity caused by the conditions.
The Ottoman economy of the early nineteen century was almost entirely agricultural. Ataturk, with his
new Kemalist regime, sought to build up a modern industrial base under explicit state sponsorship (Cooper,
2002). This sponsorship includes the direct government configuration of industries because of the lack of
private entrepreneurs to accumulate sufficient capital to major industries and businesses just after the war
years. Also, while formulating a five year plan for industrial development in 1933, the government of the new
Turkish republic was influenced by developments in the Soviet Socialist Republicans Union (Cooper, 2002).
In practice, production rose rapidly with that nationalist economic policy, and the heavy industry were
established; these changes in the production created tremendous challenges to organization and
management that had not been confronted before (Cooper, 2002). New governmental factories caused flows
from rural areas to cities.
Secular citizenship tied to the Western Enlightenment (Rouleau, 1996). In Ottoman Empire, Islam
dominated all areas of social, political, cultural and economic spheres of life, not only as a religion, but also
as a way of living. Mustafa Kemal Ataturk and his friends attacked religious dogmatism to start on a series of
new socio-cultural reforms (Kongar, 1986). Kemalist secularism does not only mean separation of state and
religion, but also the respect for freedom of moral sense, worship and religion for every individual (Akarsu,
1995). It includes the separation of religion from educational system, cultural life and legal affairs. It aims
independence of thought and independence of institutions from the dominance of religion. Kemalist
secularism is a rationalist and anti-clerical secularism; it did and does not advocate atheism, but against any
religion which was opposed to modernization (Kazancigil and Ozbudun, 1981).
Reformism or revolutionism went beyond the recognition of the reforms which Turkey replaced
traditional institutions with modern institutions. It means that traditional concepts can be eliminated and

71
modern concepts can be adopted whenever they needed (Akarsu, 1995). It is not a static principle. It makes
the principles of Kemalism alive all the time with the understanding of dynamism. Dynamic changes,
depending on the needs of the modern time, are in the core of it.
Breaking with hundreds of years of Ottoman tradition, in his 15-16 years of leadership, Ataturk realized
lots of political social, legal, economic and cultural reforms: the Sultanate (emperorship) was abolished in
1922; the Republic was declared in 1923; the Caliphship was abolished in 1924; the hat as opposed to fez
was introduced in 1925; the activities of religious sects were banned by law in 1925; Western calendar was
introduced in 1925; the modern secular system of jurisprudence was changed with old religious laws in 1926,
with civil and penal codes borrowed, respectively, from Switzerland and Italy; the Latin alphabet was
accepted in 1928; the Metric system was introduced in 1931; the nicknames and personal titles were
abolished in 1934; religious dress was prohibited in public in 1934; women received right to vote and be
elected to parliament in 1934; and the surname law was introduced in 1934 when Mustafa Kemal got his
surname Ataturk, the father of Turks (Akarsu, 1995).
Mustafa Kemal Ataturk changed Turkey into a modern, dynamic European country. He replaced an
absolute monarchy with a democratic republic, an Islamic culture with a firm secularism, administrative
system with an efficient centralized bureaucracy, a fractured agricultural economy with an increasingly urban
and industrial society. No nation had ever founded a greater revolutionary zeal and undergone more
sweeping change than the Turkish Republic in such a short time. Mustafa Kemals methods could be
somewhat cruel, but his aims were more benign; he wanted to change the state into a Western-style country
(Noel, 1995).
In order to promote national unity, Mustafa Kemal encouraged a new national culture by cutting off from
its religious Ottoman roots and imposing the Turkish language with Latinized the old Ottoman alphabet based
on Arab scripts (Rouleau, 1996). In Ottoman time, the paradoxical relation between the new and the old
modes of life formed a deep dichotomisation of parts mentioned as religious bureaucracy and civil-military
bureaucracy or secular elite and anti-secularist commoner (Aktay, 1993). Most of the power conflicts
occurred, before the new Turkish republic, usually related to and explained by that dichotomy (Aktay, 1993).
The Unification of Education was the most efficient step in the process of creating a homogeneous society,
and to remove that dual character of the Turkish intellectual and political life in favor of the secularist or civil-
military bureaucracy.
For creating a nation state, all people had to be educated from single ideological sources, as the unified
educations, equally understandable scriptures, or nationalism (Aktay, 1993). In the beginning of 1920s, only
20 percent of the Turkish population could read and write, and those who could read and write are mostly
elite (Noel, 1995). Ataturk gave civil servants an ultimatum: master the Latin characters or look for another
job (Lawlor, 1996). Then, Quran was translated into Turkish, and teaching of Arabic had been banned by the
reforming fervor of Ataturk; thus, the only link with Islam was left (Aktay, 1993).
Moreover, science was given importance very much in all areas of the life, including management.
Mustafa Kemals words the best and the real guide in life are knowledge and science, which were carved on
the walls of the Faculty of Language History and Geography in Ankara University, reflect this logical
approach (Kongar, 1986). In an Izmir speech, on February 3, 1923, Ataturk stated "for a religion to be natural
it must conform to reason, to science, to knowledge and logicThere is no clergy among us [Muslims]. We
are all equal." (Reed, 1956, p. 299). Like a modernist public administration theorist, he had great faith in
scientific methods in administration; he considered that, as science, the westernization of his society
throughout a positive approach would guarantee the universality of his reforms (Kongar, 1986).
In addition to science, with the Kemalist reforms, Turkish Republic tended to rule with an increasingly
centralized government. Since then, local governments have not been empowered to be more independent
from the central government, and the mayors have been responsible to the governors who were appointed by
the central government (Yuksel, 1999). Additionally, most of the government offices started to be managed

72
by a central general office in Ankara. In Kemalist Turkey, modification through reform and centralization by an
interrelated midpoint was the principle aim, as it had been in Ottoman Empire (Yuksel, 1999).
Later, the new Turkish Republic had two attempts for transition to multiparty regime of democracy until
the third and last and rather permanent experience of the Democrat Party in 1945. The first two of them was
realized when Ataturk was alive. The first one was tried in 1924 with (Terakkiperver Cumhuriyet Frkas) the
Progressive Republican Party (PRP) which is the most important alternative to the Republican Populist
Party (RPP) (Kazancigil and Ozbudun, 1981). The members of the party were somewhat conservative, and
they declared that "the party is respectful to religious convictions and ideas" (Tunaya, 1991, p.158). At the
same time, Sheikh Said was rebelling by using religion. Following the approval of the special law of Law of
Establishing the Order, PRP was closed relying on the decision of the executives that the party, or some
members of the party, was exploiting the religious feelings (Tunaya, 1991). In 1930, the second experience of
multiparty democracy was realized with (Serbest Cumhuriyet Frkas) the Free Republican Party (FRP).
However, following some of its policies, supporting some religious demands of the people, the government
again closed the party and put an end to democratic life (Tunaya, 1991).
After Ataturk died, Kemalism was evident that public administration of RPP, as a single-party
government, wielded considerable power and influence in policy framing, policy making, and policy
implementation; therefore, it is subject to growing pressures of political players, social actors, managerial
professionals, and the overall economic market (Vigoda, 2002).

2.3. Single-Party Period

When Ataturk died, in November 1938, Ismet Inonu, a close friend of Ataturk and the leader of the RPP, had
become President. Despite Prime Minister Ismet Inonu's efforts to bureaucratize the administration, Ataturk,
as a president, had ignored bureaucratic procedures and insisted that the ministers report directly to him
(Atay, 1969). Similarly, President Inonu declared himself as the National Chief and the permanent chairman
of the Republican Populist Party (RPP), and held the power of the state to safeguard Kemalist reforms
(Heper, 2000; Kongar, 1986). He, as a prime minister from 1925 to 1937, president from 1938 to 1950 and
again prime minister from 1961 to 1965, believed in the strong state, remote from the societal groups, as in
the Ottoman state-oriented political viewpoint, adab tradition (Heper, 2000).
In fact, Ataturk knew that Turkish nation was not prepared to embrace modernity and revolve firmly to
the West because of their strong links to their past, so he enforced them over the protests of the old order.
However, he did not aim to insert Kemalism into personal life as a system of public relations or ethical values
(Noel, 1995). Conversely, RPP, as a single party just after him, tried to insert Kemalism into private life as an
inflexible and unchangeable policy of the new republic. This policy, in fact, is against the faith of the dynamic
principle of Kemalist reformism which accepts and requires changes with time rather than stability.
Since his death the Turkish state has created a somewhat of cult figure of Ataturk (Leicht, 1998). It can
be easily seen by a new one who visits Turkey. He would see an Ataturk portrait on the wall of the passenger
cabin of the Turkish Airlines, and in the city-center, he would possibly have to pass Ataturk Boulevard at
some point. The cult adjoining Ataturk is probably as tough as the cults that were in the Soviet Union (Candar
and Pryce-Jones, 2000). Every morning in school playgrounds, all the students state loudly and publicly their
allegiance to Ataturk (Leicht, 1998). It is the creation of a narrow, authoritarian understanding of his
principles, dreams, and ideas by successors who altered Kemalism into an inflexible policy and Mustafa
Kemal Ataturk into an untouchable public symbol (Candar and Pryce-Jones, 2000).
Although Kemalism, just after Ataturk, was considered an anti-religious ideology, it had nothing against
the religion except to deny religion as a source of political power (Kongar, 1986). Ataturk, in fact, was a
practicing Muslim himself; his secularist project tried to achieve disconnection of religion from those areas of
life of the modern Western state (Noel, 1995). However, unlike the secularism of the Anglo-Saxon tradition,
with its emphasis on religious tolerance and pluralism, Turkish secularism, especially after Ataturk, carries

73
overtones of irreligion; the advocates of this fundamental secularism think religion is contrary with pluralism
and democracy (Candar and Pryce-Jones, 2000). Therefore, so-called secularist elite in RPP, in the name of
democracy, have made it harder for devout religious to get a proper education -- they saw secularism as an
inflexible status has to stop women from wearing what they want.
Attacking Islam as an obstacle to development was also in accordance with a firm belief in western
positivism (Kongar, 1986). In fact, the positivist ideas came from the Young Turks, who absorbed such ideas
directly from France. They thought that Islam presented a threat to modern Turkey, as the Catholic Church
was to pose a threat to the French Republic (Candar and Pryce-Jones, 2000). However, they did not imagine
that Islam did not have any institution that functions as a church, so their attempt to enforce secularism was
altered into an authoritarian movement against persons (Candar and Pryce-Jones, 2000). Consequently,
secularism has become a radical political dichotomy that divides the single-party members and the common
people.
Furthermore, the state elite, who followed Kemalism, mandated a militantly secular, ethnically
homogeneous republic prepared to join the modern world. They were even determined to banish Islam from
the public sphere to become a functioning nation-state (Candar and Pryce-Jones, 2000). During the single
party period, Kemalism was affected by the traditional political culture and patrimonial infrastructure which
allow the governing elite not tolerate criticism to their powers or policies (Yuksel, 1999).
Like in the Ottoman Empire, the state elite in the RPP era was lost in thought with "high politics" rather
than paid attention to socio-economic issues; Westernization, for example, governed the politics during the
single-party period from 1923 to 1945 (Heper, 2000). In this period, administration exercised considerable
power and influence in policy framing, policy making, and policy implementation, so it was subject matter to
increasing pressures of political and social actors, administrative professionals, and the general economic
market (Vigoda, 2002).
Since a multiparty regime in 1946, RPP shifted the guardianship of Kemalism with army, which is the
firmest stronghold of Kemalism and the persistent guardian of the nationalism. Turkish military pressured the
government to act in the boundary of Kemalism many times (Candar and Pryce-Jones, 2000). However,
Turkey's laws do little to subordinate the army to civilian control. Also, military officers, similar to the Ottoman
period and the single-party years of the Republic, placed much more emphasis on the needs of the state as a
whole, rather than on the needs of individual groups (Heper, 2000).
Actually, soldiers were in central place in late Ottoman governmental policies, especially both in the
second constitutional period (1908-1918), and in the war of independence (1918-1922). As a former soldier in
Ottoman army, Mustafa Kemal Ataturk also relied upon the military for his reforms, so the military has been
an important political actor in Turkey, like in late Ottoman politics (Demirel, 2003). Unlike most armies in
democratic countries, Turkish army is held in high esteem. Rather than a professional job, it is a national duty
of guardianship of the state and Kemalism which is the result of over-emphasis on power state. Therefore, it
felt authorized to intervene in civilian politics when they interpreted civilian politics against Kemalisim. After
switching to the multiparty regime, between 1960 and 1980, it overthrew the governments three times by the
sake of protecting Kemalism (Demirel, 2003). In 1983, the military generals, however, voluntarily restored
civilian ruling, and a newly selected government took office (Candar and Pryce-Jones, 2000).

3. Conclusion

Since the late Ottoman period, Turks tried to reach modernism by imitating Western reforms and policies.
This pursuit continued for more than a hundred year without a complete success, but there was always a
faith in progress. For the sake of modernization, they tried rationalization, specialization in bureaucracy, and
scientific methods for universal values. Later, they refused all traditional powers and tried to catch modernity
by a central nation-state. They realized lots of reforms, but, as shown above, there had been a hidden
continuity rather than change since the beginning of the modernization of Turkey.

74
Kemalist cultural modernization of Turkey, affecting education, political life, communications, religion,
women's rights, and even the acceptable style of headwear, is the furthermost case in modern history of a
whole nation being reformed by a person and of that reforming being accepted by most of the population.
The spirit of it was the liberty and unity of the nation and country, the creation of a society without classes
and privileges, secularism and republican approach, and reformism by the needs of modernization. However,
in the hands of the Kemalist elite, principles of Kemalism hardened into a firm accepted view that became a
barrier to promote democratic and economic growth in a changing globe.
Unlike traditional understanding, modernity is a continuing subject and needs changes day by day.
Yesterday's modernity cannot be modernity today; however, single-party interpretation of modernism is very
static and bounded by strong rules. Whoever imagined out of those limits was seen against Kemalism. Those
established bounds were not different than the experiments of the Ottoman modernism. Actually, reformism,
as a dynamic principle of Kemalism, might change that continuity, but strict regulations, which restricted
creativity and imagination, was the main obstacle for that change.
First, the confidence on strong central power at the end of the Ottoman Empire was not change in new
Turkish Republic (Yuksel, 1999). This caused a real dominance of hierarchy and autonomy which was the
main reason of [bureaucratic] distance between administrators and the public. This made the Turkish
modernization experiment, under the authoritarian regime of Ataturk, same as the late Ottoman
modernization, which also dependent on dictatorial autonomy of Young Turks.
Secondly, the dichotomic structure of the nation did not change. There was always dichotomisation of
parts mentioned as civil-military elite and traditional-religious people. Sometimes, it was seen as single-party
members or bureaucrats and common people. Therefore, it is easy to say that the Ottoman heritage of using
bureaucracy to usurp state powers also dominated Turkish political traditions and practice (Heper, 2000).
This is an important point to show the continuity rather than change.
Another example of continuity can be seen in over-emphasizing on rational logic and science. Both the
late Ottomans and early Republicans looked for universal values for their reforms. To be efficient in their
administrative process was so important that they chose to be rational on their administrative decisions.
Primarily, Young Turks at the end of Ottoman period tried to create a science based social technology to
provide the knowledge for political authority. Their French based positivist ideas also affected new
Republicans in their administrative reforms. They based on science to guarantee the universality of their
reforms.
Through the late Ottoman Empire and new Turkish Republic, nationalism addressed the theme of
culture and identity. As a modernist course of action, it operated most of developments in the form of a
nation-state in Turkey. It was used by the elite as a driving motive for social mobility to govern the masses.
However, in both terms, they never gave up the idea of power state. In the republican era, the belief in strong
state reached its maxim which required a strong connection between the state and the administrator;
therefore, as in Ottoman Empire, salvation of society depended on the interests of the state. As the result of
the concept of power state, not only in Ottoman Empire, but also in early Turkish republic, army had a
mission of guardianship of the state interests.
As a result of modernity, the shift to popular sovereignty and representative government became
possible only when elected officials learned how to appoint and control public officials charged with the
implementation of public policies. However, in any regime dominated by appointed officials it may be
assumed that lazy and greedy bureaucrats will abuse their powers and bad public administration will result. In
order to complete transformation into a fully modernity, imagination and creativity should not be bounded by
strict rules, and all ideas need to be respected equal-democratic and secular.


75

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77

The New Role of the Nonprofit Sector

Bassam Abdullah Albassam

Florida Atlantic University, Boca Raton, FL, USA
E-mail: balbassa@my.fau.edu

Doi: 10.5901/mjss.2012.03.01.77

Abstract For decades, serving the public has been the main function of nonprofit organizations. They have also been involved in
other functions such as participation in the policy process, but not so significantly as to have influence in policy-making and
implementation. In recent years, however, the role nonprofit organizations play in the national economy and political process has
increased. In addition, the relationships between the nonprofit (independent) sector and the public and private sectors have
changed, causing politicians and scholars to rethink the nonprofit sectors increased influence on the local and national economy
and policy process. This paper explore the new role that the nonprofit sector has begun to play in shaping and influencing the
local and national economy and policy process in the United States in the last few decades. The paper concludes that
legislations and rules that deal with the way nonprofit organizations participate in the policy process need to be updated to
consider the increasing role of the sector.

Keywords: nonprofit, organizations, policy process

The nonprofit (independent) sector is one of the fastest growing sectors in the United States. In the last
decades, the nonprofit sector increased its share of the national economy to 5.2percent of Gross Domestic
Product (GDP). Almost 10percent of the workforce in the United States works in the nonprofit sector. In 2008,
more than 1.5 million organizations were registered under the nonprofit classification of the Internal Revenue
Service (IRS), 38percent increase compared to 1998, and 50percent of these organizations specialized in
healthcare services (IRS, 2010). These figures show the importance and increased role of the nonprofit
sector in the national economy. Accordingly, nonprofit organizations have been one of the main players in the
political process through lobbying and other political activities in the last few decades.
The main goal of this paper is to address the influence that the nonprofit sector has had in shaping and
influencing the national economy and the policy process in the United States in the last 20 to 30 years.
Factors that have led to the nonprofit sectors changing role will be discussed. The author will also discuss
how this change has affected the relationships between the nonprofit sector and the public and private
sectors and explore the influence that this change has had on the operations of nonprofit organizations.

1. Mission and Role of Nonprofit Sector

Making change in individuals life and society has been the main mission for nonprofit organizations. The
nonprofit organization exists to bring about change in individual and in society (Drucker, 1992, p. 3).
Religious institutions have been the leaders in helping the poor and those in need for centuries. Such
institutions have been the main providers of healthcare, food, and education for the poor (Bartlett, 2001;
Hammack, 2000). According to Hammack (2000), religious institutions (churches) were responsible for
providing humanitarian, educational, and healthcare services during the colonial periods in the United States.
While religious and faith-based institutions are known for charitable and philanthropic services, they also
influence the policy process through public opinion. During the Middle Ages in Europe, for example, the
Catholic Church had a strong voice in influencing and shaping the policy process and other aspects of daily
life such as the activities of artists and scientists (Bartlett, 2001). Thus, the nonprofit sector (represented in
the Middle Ages by religious institutions) has a history of influencing all aspects of daily life, both economic
and political, as well as providing humanitarian and healthcare services to the public. Hammack (2002)

78
argues that historical studies make it clear that [nonprofit] organizations have played important roles in the
United States since the early 19th century. (p. 1640)
Civil rights movements in the 1960s encouraged minorities to organize in order to defend their rights
and influence the policy process in their interests. Additionally, the complexity of American society provides
state and local communities with a comparative advantage in serving peoples needs and interests (Scott,
2010), which has resulted in an increased number of nonprofit organizations at the state and local levels.
New Deal programs in the early 20
th
century, which were designed to get aid and employment directly
to citizens through government agencies (Hammack, 2002, p. 1659), are examples of factors that have
influenced the way that nonprofit organizations function.The decreasing number of these programs in the late
20
th
century has led nonprofit organizations to begin providing the services that the New Deal programs used
to provide (Bruce, 2005).
In the 20
th
century, many organizations joined the nonprofit sector through civil rights movements.
Thus, humanitarian services and public representation are no longer predominantly provided by faith-based
institutions. This new trend in the nonprofit sector adds variety and power to the sector, as more people are
now represented by nonprofit organizations. According to Anheier (2005),
The governmentnonprofit relationship, then, as viewed through a social movement perspective, can
be described as a cycle: private actions are translated into public concerns via formal legal entities, which
evolved from the initial social movement; these formal legal entities also influence government policy and
government responds either by directly addressing the issue, or a more popular response is to fund
nonprofits that in turn address these public concerns. (p. 286)
The second half of the 20
th
century has witnessed a boom in the number of nonprofit organizations,
which has led to increasing roles played by the nonprofit sector in shaping and influencing the policy process
and the national economy. According to Hammack (2002),
I have argued that three factors account for the relative expansion of the nonprofit sector since 1960:
the steadily increasing affluence of the American people, the Great Society programs launched under
President Lyndon B. Johnson, and the civil rights movement. (p.1662)
The nonprofit sector has been recognized since the early 20
th
century as one of the main players
providing services such as healthcare, influencing and shaping the policy process, and executing a clear and
strong influence on the national economy. In 1900, less than 1 percent of the workforce in the United States
worked in the nonprofit sector compared to 9 percent in 2000 (Hammack, 2002). Additionally, the number of
nonprofit organizations in 2008 was 1.5 million, 32.7 percent more than just a decade earlier (Urban Institute,
2009).
Many explanations have been proposed for this increase in the number of nonprofit organizations and
the new role that the sector plays in the policy process and the national economy. Civil rights movements, the
increasing complexity of society, a shortage of services provided directly by the government, and
demographic changes resulting from immigration in late 19
th
century and early 20
th
century are all factors that
explain the new role that the nonprofit sector plays in the policy process (Blackwood et al., 2009; Bryce,
2005; Hammack, 2002; Walden, 2006). The influence that nonprofit organizations have on society not limited
to national level, but also cover local and regional levels too. In recent years, we have witnessed an increase
in the role and influence of nonprofit organizations in local and regional policy decisions. (Hula & Jackson-
Elmoore, 2001, p. 324)
The increased role of the nonprofit sector has encouraged legislatures and governments to issue
regulatory laws. Whereas in the past, the nonprofit sector frequently constituted something close to the terra
incognita of policymaking, it has now become the focus of major policy initiatives (Anheier, 2005, p. 12).
Legislative and executive branches of government have responded to the nonprofit sector's increasing role in
social, economic, and political life with rules and laws to organize and control the operations of the sector.
Tax exemptions and the regulation of political participation are examples of laws that have been enacted to
organize and control nonprofit organizations activities in politics and other areas.

79
2. What is Nonprofit Organizations?

As this research focuses on nonprofit organizations, it is necessary to define our use of the term nonprofit.
Although there is no universally accepted definition of a nonprofit organization, there is agreement on the
characteristics that shape nonprofit organizations. Serving the public by introducing help to people, serving
as a voice for the public interests in general and minorities in particular, and focusing on goals other than
profit are the defining characteristics of nonprofit organizations. In addition, nonprofits can represent the
interests of weak and marginalized groups as intermediaries (Brinkerhoff & Brinkerhoff, 2002, p. 6), which
adds more responsibilities to nonprofit organizations and provides them with more influence in the policy
process, as they represent more people from different groups.
According to Hammack (2000), most social and nonpolitical activity in America is organized and
accomplished by nonprofit organizations. Healthcare, providing food and social services to people in need,
and protecting and improving art and culture are examples of nonprofit organizations functions. Americans
conduct almost all of their formally organized religious activity, and many cultural and arts, human services,
educational and research activities, through private nonprofit organizations. (Hammack, 2002, p. xv)
Ferris (1998) argues that nonprofit organizations have three main functions: service delivery, policy
process, and governing (p. 140). Additionally, nonprofit organizations work for the benefit of the general
public rather than for their own self-interest. Nonprofit organizations differ from government agencies
because they have more flexibility in providing help to people in need, as they operate with less bureaucracy
than government agencies. In addition, voluntary work by employees plays an important role in running
nonprofit organizations, which differs from organizations in both the public and private sectors. Finally,
nonprofit organizations are based on voluntary work from citizens and in many cases are run by volunteers
(Bryce, 2005; Ferris, 1998).
The relationship between different sectors government, the private sector, and nonprofit
organizations is intertwined. Part of the financial support that nonprofit organizations receive comes from
government grants. Additionally, the interests and agendies of nonprofit organizations and government
interests meet on one or more issues such as environmental protection, which encourages both sectors to
work together to achieve their desired ends. In addition, the government contracts out some of its services to
be provided by nonprofit organizations. However, in some cases (e.g., government employee unions), the
two have conflicting interests, no doubt that nonprofit organizations and the government have an intertwined
relationship.
The nonprofit sector and the for-profit sector can be both competitive and cooperative with each other.
Anheier (2005) argues that the nonprofit sector has become a competitor for the for-profit sector, since they
both introduce services to the public, though with different motives.
There is not much doubt about whether or not nonprofits can survive in this new competitive climate
because nonprofit commercial activities tend to be innovative and profitable. In fact, nonprofit responses to
external pressures from the forprofit sector increasingly involve some degree of coordination and
collaboration among the public, nonprofit, and forprofit sectors. (Anheier, 2005, p. 291)
Lester Salamon (1999, p. 10-11, as cited in Hammack, 2002, p. 1640) summarizes the characteristics of
nonprofit organizations:
1. They are formal organizations operating under relevant law, legally distinct from their officers,
capable of holding property and engaging in contracts, and persisting over time.
2. They are private, institutionally separate from government, though government officials may appoint
some members of their governing boards.
3. They are nonprofit distributing, though they may sell services, pay high salaries, and accumulate
surpluses.
4. They are self-governing, though they must obey relevant general laws.
5. They are voluntary in the sense that participation on their boards or in providing them with support

80
is not required by law.
6. They serve some public benefit.
According to the above characteristics, nonprofit organizations are like those of the public and private sectors
in how they are organized, function, and adopt different management forms. Further, the nonprofit sector
works and participates in many fields such as healthcare, education, and humanitarian services. Thus,
generally speaking, nonprofit organizations have the same structure and functioning style as organizations in
the public and private sectors. While making a profit is not the main goal of nonprofit organizations, they are
in competition with the private sector in introducing services to the public. This situation makes distinguishing
between the sectors a hard task. Although we speak of the nonprofit sector, which suggests clearly defined
borders with the public sector and the forprofit sector, such sector distinctions are in reality quite blurred and
fluid. (Anheier, 2005, p. 4)
In contrast, although nonprofit organizations do profit as a result of services introduced to the public,
they are forbidden by law to behave like for-profit organizations in the distribution of income. There are strict
rules regarding how nonprofit organizations may spend their profits. In addition, nonprofit organizations are
based on public financial support as well as government support. Accordingly, most nonprofit organizations
enjoy tax-exempt status. According to the IRS, there are 30 types of organizations that are qualified for
exemption from federal and state income taxes under the U.S. system (IRS, 2010). Finally, volunteer work
from employees is one of the main characteristics of nonprofit organizations.

3. Economic Impact of Nonprofit Organizations

The nonprofit sector has been one of the fastest growing sectors in recent decades. According to Urban
Institute Press, in 2008, there were 1.5 million nonprofit organizations, compared to less than 1.2 million in
1998, a 32.7 percent increase. Human services organizations such as healthcare account for more than 33.6
percent of nonprofit organizations, followed by education services with 18.1percent (Urban Institute, 2009).
Compared to other sectors, the nonprofit sector accounted for 5.2 percent of GDP in 2007. Public
charities and private foundations under section 501(c)(3) of the U.S. Tax Code account for more than
900,000 organizations, more than 60 percent of all nonprofit organizations. The assets of nonprofit
organizations in 2007 were $4.3 trillion, compared to $2.0 trillion in 1997, an increase of 121.8 percent. Total
revenues of nonprofit organizations in 2007 exceeded $1.9 trillion compared to $918 billion in 1997, an
increase of 110.3 percent. A major source of the support that nonprofit organizations receive comes from
direct funds from the government and fees charged to users. The largest source of revenue across all
reporting public charities is fees from the sale of goods and services, such as patient care (including
Medicare and Medicaid) and tuition. Such fees accounted for 67.9 percent of revenue in 2007. (Urban
Institute, 2009, p. 3)
The recent economic recession has significantly impacted the revenues of nonprofit organizations just
like those of any other sector. A recent study by the Center for Civil Society Studies at Johns Hopkins
University deems that the recent recession has hit nonprofit organizations hard. More than 51 percent of
nonprofit organizations are facing a decline in revenues. According to the study, 27 percent of nonprofit
organizations lost at least 10 percent of their income due to the economic recession in 2008 (Salamon et al.,
2009).
Further, according to the Independent Center (2010), more than 12.9 million individuals (approximately
9.7 percent of the U.S. workforce) were working in the independent sector in 2009. Additionally, employees
of nonprofit organizations account for 8.1 percent of wages paid in the U.S. in 2006 (Wing et al., 2008, p.
14). Thus, it is clear that the nonprofit sector plays an important role in the national economy.


81
4. Political Impact of Nonprofit Organizations

Nonprofit organizations influence the policy process through advocacy and lobbying (Casey, 2004; Ferris,
1998). Policy advocacy nonprofits aim to influence the outcomes of the public policymaking process by
shaping the policy agenda, offering and analyzing policy options, and monitoring the implementation of
adopted policies (Ferris, 1998, p. 145). For the sake of our analysis, it is important to differentiate between
lobbying and advocacy; advocacy is the more broadly-used term for influencing public policies and agenda-
setting, while lobbying is more narrowly defined as spending on campaigns or influencing specific legislation.
Its important to keep in mind the point that lobbying occurs only when there is an expenditure of funds for an
activity that meets the other criteria for lobbying. (Smucker, 1999, p. 51)
Under the U.S. political system, any individual or entity can lobby; however, nonprofit organizations
political activities have some restrictions that depend on the type of organization. The IRS issues guidelines
that organize the activities of nonprofit organizations in influencing the public policy process through activities
such as lobbying, in order for these organizations to maintain their tax-exempt status. According to the IRS,
nonprofit organizations under section 501(c)(3), public charities and private foundations, have a limited role
when it comes to lobbying and electioneering. Public charities, for example, have limited lobbying roles, while
private foundations are not allowed to have any lobbying activity. In addition, no nonprofit organizations under
501(c)(3) are allowed to engage in electioneering or actively work for a candidate or political party. In
contrast, nonprofit organizations under section 501(c)(4) and 501(c)(6) are allowed to participate in lobbying
and electioneering; their role in lobbying varies from state to state (IRS, 2010). Accordingly, states have laws
that organize nonprofit organizations participation in the public policy process at the state level. Thus,
lobbying and electioneering roles determine the way that each organization deals with tax-exempt status and
the way that tax-exempt rules applied.
According to the expenditure test, which was designed by the IRS to measure the lobbying activities of
nonprofit organizations that file for section tax-exempt status, there are two types of lobbyingdirect lobbying
and grassroots lobbying. Direct lobbying is any direct contact with a policymaker or government employee
who participates in formulating legislation, with the goal of influencing legislation or a public policy (Smucker,
1999). For direct lobbing, the size of the organization is used by the IRS to determine the amount of money
that an organization may spend in lobbying without losing its tax-exempt status. For example, if the amount of
exempt-purpose expenditures is less than or equal to $500,000, the lobbying non-taxable amount is 20
percent of the exempt purpose expenditures (IRS, 2010). In contrast, grassroots lobbying is any attempt to
influence legislation by influencing public opinion (Smucker, 1999). Under IRS guidelines, a nonprofit
organization may use a maximum of one-fourth of its allowable expenditures for lobbying; otherwise, it would
lose its tax-exempt status.
In general, nonprofit organizations under section 501(c)(3) cannot engage directly in partisan political
activities. In addition, religious organizations and private foundations have stricter rules regarding their
participation in political activities than other types of nonprofit organizations. It is important to note that the
rules and guidelines that organize the political activities of nonprofit organizations vary from one state to
another and from the federal level to the state level. Additionally, nonprofit organizations that receive financial
contributions from the government also have stricter rules regarding lobbying compared to organizations that
do not receive government money.
While rules used by the IRS to organize and control political activities such as lobbying by nonprofit
organizations have been applied for a long time, the IRS has treated each case relatively separately.
Because different cases and situations are treated differently by the IRS in deciding whether a nonprofit
organization has crossed the line in its lobbying and political activities, there has been a lack of having
detailed rules for the lobbying activities of nonprofit organizations. Smucker (1999) shares the same thoughts
and argues that Although the provision has been in the IRS code since 1934 and has occasionally been
applied by the courts, there has never been a clear definition of the point at which lobbying becomes

82
substantial or, indeed, of what activities related to public policy and to controversial subjects constitute
attempts to influence legislation. (p.52)
The following section will discuss the new role and influence of the nonprofit sector in the national
economy and the policy process. Additionally, we will discuss how these changes influence and shape the
relationships between the nonprofit sector and the public and private sectors. The way the nonprofit sectors
new role influences how nonprofit organizations function will also addressed.

5. The New Role of the Nonprofit Sector

The above discussion demonstrates the increased role that nonprofit organizations play today, in both politics
and the economy. There are a variety of nonprofit organizations focused on shaping the outcomes of
government action (Ferris, 1998, p. 143). Thus, the main question we wish to address is why the role of
nonprofit organizations has increased in recent decades, whereas until the early 20
th
century the main
mission of nonprofit organizations was to provide human and social services to people. In order to have a
clear understanding of the increased role of nonprofit organizations in the policy process and in the economy,
it is necessary to discuss the factors that spurred this increase.
Many theories have been proposed by scholars and practitioners to explain the expanded role that the
nonprofit sector plays in the policy process. One of these reasons is the increasing economic role of nonprofit
organizations, which gives them more roles to play in shaping and formulating the economy. Additionally,
although the general publics trust in nonprofit organizations has increased as a result of failures of both the
government and the market (Brinkerhoff & Brinkerhoff, 2002; Bryce, 2006; Carson, 2002), there are many
concerns among the public regarding the nonprofit sectors accountability. The nonprofit sector, having
become more important and more visible than in the past, is now also more within the compass of the audit
society and its cultural code of public suspicion. (Anheier, 2005, p. 240)
On the other hand, it is perceived that democracy is represented and strengthened through nonprofit
organizations, and this perception has given the sector a more critical role to play in the policy process
(Hopkins, 2009; Kunreuther, 2007). Some scholars argue that, because nonprofit organizations represent
peoples needs and interests in a much more inclusive way than do other sectors, the nonprofit sector has a
comparative advantage over other sectors in the policy process (Bryce, 2005, 2006). In the following section,
we will explore different theories that explain the increasing role of the nonprofit sector in the policy process.

6. Nonprofit Organizations and People

The trust among the general public in nonprofit organizations has been identified as one of the main factors
that play a critical role in directing the policy process around the world and influencing government work
(Andrews & Edwards, 2004; Rubin, 2009). The general public has a strong influence in democratic systems
through the voting process, which influences the policy process and the methods by which services are
provided. Accordingly, when a sector gains peoples trust, it adds legitimacy and power to that sector
(Brinkerhoff & Brinkerhoff, 2002; Bryce, 2005; Hopkins, 2009; Kunreuther, 2006; Smith, 2008).
Nonprofit organizations in a position of gain the trust of the public because they are perceived to function
in the interest of the public rather than the interest of business, but the wording is unclear. Also, compared to
government organizations, nonprofit organizations can ideally gain peoples trust by being perceived as less
bureaucratic and more dynamic in meeting peoples needs and interests (Anheier, 2005; Carson, 2002; Hula
& Jackson-Elmoore, 2001; Smith, 2008). Smith (2008) argues that because nonprofit organizations are the
main player in introducing humanitarian and other services to people, people trust nonprofit organizations to
be their voice in a variety of political and social issues.
Bryce (2005) shares the same view regarding the role that nonprofit organizations play in politics. He
argues that the role of nonprofit organizations in society is not only in providing humanitarian services to the

83
public, but also in shaping and influencing the policy process.
Nonprofits not only discharge humanitarian action on behalf of the Americans public, but they generate
public concern, shape the debate, shape the formulation of policies, and often influence who (the selection of
agency), by whom (the selection of officials such as judges, ambassadors, and other political appointees),
and how they will be discharged. (Bryce, 2005, p. 1)
Bryce, in Players in the Public Policy Process, argues that the social capital of nonprofit organizations
attracts people to trust them. He introduces the principle-agent framework as the model that shapes the
relationship between nonprofit organizations and people, where people play the principle role and nonprofit
organizations play the agent role (Bryce, 2005). This relationship is not exclusive to one issue, such as
services provided by the nonprofit sector, but continues continuous process that covers public policy issues.
Therefore, this relationship between public and nonprofit organizations is not only built upon faith, but also on
the outcome, trust, and promises from nonprofit organizations. Additionally, according to Bryce (2005), the
way that nonprofit organizations deal with political issues and the role that they play in informing and
educating the public has increased the publics trust in nonprofit organizations in recent decades.
Smith (2005) shares the same thoughts regarding trust as the main motivating factor shaping the
relationship between people and nonprofit organizations. According to Smith (2005), citizens have the right,
under the United States system, to get together and initiate an organization that represents their interests in
any social, economic, and political issue (p. 138), where nonprofit organizations play critical role in helping
citizens to do so. Accordingly, nonprofit organizations, especially at state and local levels, enjoy a close
connection to the general public, which raises the trust level between them.
Hula and Jackson-Elmoore (2001) use two nonprofit organizations, New Detroit and Detroit Renaissance,
to explore the expanding and emerging roles of nonprofit organizations in U.S. local politics (p. 325).
However, the study emphases the increasing role that nonprofit organizations play in the policy process, the
authors concludes that one element of the relationship that does not seem to have changed [in the policy
process] is the importance of formal government (p. 352). In contrast, because of the nature of Detroit as an
industrial city where the private sector plays major role in shaping the political process, they found that the
increasing role of the nonprofit sector comes at the expense of the private sector. In Detroit, there is
evidence that nonprofit organizations such as New Detroit and Detroit Renaissance can play a role in
redefining the local political agenda. (p. 352)
On the other hand, Carson (2002) argues that people have disconnected from nonprofit organizations
over time. Financial and moral scandals have influenced peoples trust in nonprofit organizations in recent
years. Carson states that there is a growing disconnect between the publics expectations for nonprofit
organizations and the operational realities faced by nonprofit organizations (Carson, 2002, p. 429). He
argues that many steps need to be taken to gain the missing trust back, such as strict governmental
regulations and auditing processes on nonprofit organizations work. Carson (2002) also argues that nonprofit
organizations need to do internal auditing on the way they function in order for them to gain peoples trust
and to be more active in shaping and influencing peoples lives, both economically and politically. Ideally, the
public should view the nonprofit sector as the place where people gather to actively promote their views of
improving the quality of life for all. (Carson 2002, p. 433)
Ebrahim (2003) thinks that recent scandals in the nonprofit sector have raised concern among the public
and public officials regarding the accountability and transparency of nonprofit organizations work;
Concerns about accountability in nongovernmental organizations (NGOs) have increased over the past
two decades, due in part to a series of highly publicized scandals that have eroded public confidence in
nonprofit organizations, coupled with a rapid growth in NGOs around the world. (Ebrahim, 2003, p. 813)
Ebrahim (2003) argues that the increasing role of nonprofit organizations, both in political processes and
in competition with the public and private sector in introducing services to the public, makes it necessary for
both legislators and nonprofit organizations themselves to apply accountability principles to the work and
management of NGOs.

84
7. The Nonprofit Sector and Democracy

Democracy has many different meanings and characteristics; while there is no one definition of democracy,
most definitions share two concepts: freedom and equity (Peters, 2010). Individual rights which have been
guaranteed for all people, including freedom of speech, give the public the ability to organize and to have an
organization that represents them. Different opinions from different groups are part of the society that
enriches the democratic system. Kunreuther (2007) states that when we discuss nonprofit groups role in the
democratic practice, we are talking about engaging constituents and to encourage them to have that voice,
and we are not saying they should be neutral or have no opinion. (p. 2)
The nonprofit sector is one of three sectors that structure a democratic society, the others being the
public and private sectors. The nonprofit sector has a different structure and different relationships with the
public and private sectors, but it is adopting management styles and characteristics similar to the other
sectors. Anheier (2005) describes nonprofit organizations as combining a key feature of the public sector,
i.e. serving public benefit, with an essential characteristic of the; forprofit; sector, i.e. its combined private and
voluntary nature. (p. 11)
Government is the largest donor to the nonprofit sector; 31 percent of the revenues of nonprofit
organizations come from government organizations (Coble, 1999). Additionally, the executive branch and the
legislative branch play an important role in articulating and formulating rules that organize the functioning and
political activities of the nonprofit sector (Child & Grnbjerg, 2007; Coble, 1999). Thus, nonprofit
organizations in the United States have complex and dynamic relationships with government at all levels and
across a broad array of policy arenas. (Child & Grnbjerg, 2007, p. 259)

8. Economic Role of the Nonprofit Sector

The nonprofit sector is one of the fastest-growing sectors in the United States, which makes it one of the
main players in the national economy and policy process. According to a recent report by the IRS, there are
more than 1.5 million nonprofit organizations in the United States, and 5.2 percent of the U.S. GDP is
represented by the nonprofit sector. In 2007, the assets of nonprofit organizations exceeded $4.3 billion (IRS,
2010). According to the Independence Center, more than 12.9 million individualsapproximately 9.7 percent
of the workforce in the United States were working in the independent sector as of 2009 (Urban Institute,
2009).
The relationship between nonprofit organizations and the public sector in modern times goes back to
the Great Depression of the early 20
th
century, when many nonprofit organizations became the only source of
food and healthcare for people as a result of Depression-related budget cuts from the government. In the
1960s, this relationship took another direction when the government, with help from nonprofit organizations,
applied social programs such as the war on poverty. Government funding for nonprofit organizations was
increased in order for them to implement the social programs (Anheier, 2005; Smith, 2010). Anheier (2005)
states that nonprofits are typically the first line of defense in addressing emerging social problems of many
kinds, but face resource insufficiencies over time that, in turn, can be compensated for by government
funding (p. 283). Consequently, the relationship between the two sectors is intertwined, and each sector
relies and depends heavily on the other.
Along with fees, government support is the main source of income for nonprofit organizations
(Hammack, 2000). Nonprofit organizations receive direct funds from federal, state, and local governments
and enjoy the tax-exempt status that federal, state, and local governments guarantee to most nonprofit
organizations. Thus, nonprofit organizations receive financial support from the government while helping the
government implement social and service programs. This relationship between the nonprofit sector and the
public sector makes the role that the nonprofit sector plays in the economy and the policy process important.
Some of the largest and most influential organizations in the market are nonprofit organizations, such as the

85
New York Stock Exchange and the U.S. Chamber of Commerce, which give the nonprofit sector more power
and influence in the market. Bryce (2006) claims that markets are highly influenced by and shaped by
nonprofit organizations (p. 312). Consequently, both sectorspublic and privateneed to cooperate with
the nonprofit sector to achieve their desired outcomes, whether in adopting new policy, increasing quality of
life, or supporting a new regulation or law. According to Hula and Jackson-Elmoore (2001), Roles of coalition
builder and policy initiator/formulator join more traditional roles of service provider and policy advocate.
These emerging roles forge new relationships between the nonprofit, for-profit, and public sectors. (p. 324)
The nonprofit sectors influence on the market and the economy has been increasingly noticeable in
recent decades. While nonprofit organizations are not allowed to distribute revenues to board members or
stakeholders like businesses, they are not prohibited from making profits (Bryce, 2006). Accordingly,
nonprofit organizations compete with for-profit organizations in making profits, and both sectors share the
same characteristics, such as legal liabilities. Also, both sectors apply similar management styles and
compete in attracting talented personnel (Bryce, 2006; Hopkins, 2009). Thus, the economic power and
competition with the for-profit sector in making profits make the nonprofit sector main player in shaping and
influencing the policy process. In the early 20
th
century, the nonprofit sector became one of the main players
in the policy process. Economic influence, increasing public trust as a result of government and market
failure, and the increasing number of nonprofit organizations in the last three decades are increasing the
important role that the nonprofit sector plays in the policy process. This new role of the nonprofit sector
shapes and articulates the relationship between the nonprofit sector on one side, and the public and the
private sectors on the other side. This relationship will be discussed in the following section.

9. The Nonprofit Sectors Relationship with Other Sectors

The increasing role of the nonprofit sector in the policy process influences its relationships with the public and
private sectors. Because each sector has a vital role in the democratic process, interaction among them is
inevitable. In many cases, the nonprofit sector is considered to be the sector that defends and fights for
peoples rights, while the private sector has profit as its the main goal and the public sector organizes and
manages the states resources and the relationships among sectors (Brinkerhoff & Brinkerhoff, 2002; Bryce,
2005; Walden, 2006).
The role that the nonprofit sector used to play in implementing social and humanitarian programs that
the government has failed to adopt is no longer the only role that it plays (Brinkerhoff & Brinkerhoff, 2002;
Ferris, 1998). According to Ferris (1998), nonprofit organizations exist not only to deliver services.
Individuals also organize collectively in order to advance their interests in public policy. There are a variety of
nonprofit organizations focused on shaping the outcomes of government action (p. 143). Because nonprofit
organizations have a close relationship to the public and represent peoples needs and interests, the
government needs to consider the nonprofit sector as a partner in addressing public and policy issues. Thus,
many programs have been contracted out by the government to be executed by nonprofit organizations.
The nonprofit sector also has significant influence in the market as it competes with the private sector in
government-contracted programs and in attracting talented personnel. This situation makes the collaboration
between the nonprofit sector and the private sector important for both sectors. Walden (2006) argues that
nonprofit organizations need to collaborate with the business sector in order to broaden the message of
nonprofits (p. 1). Additionally, the public and private sectors need to consider the nonprofit sector as a critical
player in shaping and influencing the market and the policy process (Bryce, 2005; Jackson-Elmoore, 2001).

10. New Roles for the Same Game

In recent decades, the nonprofit sector has been growing economically and politically. Day care, healthcare,
and humanitarian services that nonprofit organizations provide to the public are no longer the only missions

86
of the nonprofit sector. Thus, the growth of the economic and political influence of the nonprofit sector
influences the policy process (Butler, 1997; Bryce, 2006; Child & Grnbjerg, 2007; Cole, 1999; Smith, 2008;
Smith, 2010).
The nonprofit sector has a comparative advantage in the policy process because it represents the
needs and interests of the general public. According to Bryce (2006),
Nonprofits do more than fill in for market or government failures. They also regulate, facilitate, assist,
and modify markets and play a significant role in every aspect of public policy, that is, from determining party
platforms to the implementation of policies. In the public policy process, they have a comparative advantage
as agents of citizens and firms. (p. 311)
This new economic and political role played by the nonprofit sector needs to be combined with more
regulations and laws that organize the sectors activities and the relationship between it and other sectors.
Also, nonprofit organizations must adjust their behavior and programs to reflect public policy and
government priorities. (Anheier, 2005, p. 286)
Smith (2008) recognizes the increasing role of nonprofit organizations in the policy process and citizen
engagement in political discourse. He argues that government and nonprofit organizations need to play a
more critical role in training, organizing, and improving citizen engagement in the policy process.
Consequently, nonprofit organizations need to be more transparent in their governance and responsible in
representing peoples needs and interests by applying efficient and effective management techniques in
order to be successful in their missions (Smith, 2008).
Ferris (1998) argues that government needs to regulate and organize nonprofit organizations
participation in the policy process. Also, he recommends analyzing different types of nonprofit organizations
differently when we address the influence of nonprofit organizations in the policy process, since each type
has different methods, capabilities, and agendas in participating in the policy process. Of critical importance
in such an exercise is delineating the varied purposes that are manifested in different types of organizations
within the nonprofit sector. (Ferris, 1998, p. 139)
Child and Grnbjerg (2007) characterize nonprofit organizations advocacy in a variety of public issues.
While most nonprofit organizations have some kind of advocacy in one issue or another, Child and Grnbjerg
argue that the level of advocacy depends on many factors. The size of the organization, the level and area in
which the organization operates, and the issues for which the organization advocates are factors affecting the
organizations success in influencing the policy process in a given political or social issue. Child and
Grnbjerg think that the size of the organization, its access to information and communication technology, its
charitable status, and, in some cases, the field of activity in which it operates all help predict nonprofit
advocacy. (p. 159)
The nonprofit sector needs to take advantage of its role as a recognizable sector with influence in the
policy process (Carson, 2002; Coble, 1999). To broaden the nonprofit sectors message and take advantage
of its increasing role, Coble (1999) suggests that the sector increase the public trust by representing the
voice of the people, collaborating with the public and private sectors, taking advantage of its reputation as
neutral, and representing peoples interests and needs in public issues.

11. Conclusion

Nonprofit organizations influence the policy process and the economy. In the last few decades, nonprofit
organizations have played an important role in the economy, encompassing 10 percent of the work force in
the United States and representing 5.2 percent of the U.S. GDP.
According to Bryce (2006):

Nonprofits are arguably the most pervasive institutions in the American public policy process. They influence the
determination of party platforms (political parties), the selection of candidates, the determination of electoral
outcomes (political action committees), the naming of administrators (grassroots lobbying), the design of public

87
policy (legislative lobbying), the adjudication of policy by taking positions before administrative bodies and the
courts, and the implementation and evaluation of public policies whether domestic or foreign, scientific, economic,
educational, health care, or cultural. (p. 310-311)

Differing thoughts and opinions have been introduced to explain the reasons behind the increasing role of the
nonprofit sector as a key player in the policy process. The increased economic role of nonprofit
organizations, the high level of trust between nonprofit organizations and the public, and the fact that the
nonprofit sector plays a critical role in democratic systems are all factors explaining the vital role that
nonprofit organizations play in the national economy and policy process.
On the other hand, there are many calls to organize the way that nonprofit organizations participate in
the political process through lobbying and advocacy. Many politicians and scholars have criticized the current
rules that organize the participation of some nonprofit organizations (such as religious institutions) in the
policy process, calling for stricter rules that consider the increasing role of the nonprofit sector in the policy
process and the economy. According to Anheier (2005), Demands for better governance and greater
accountability have increased significantly in recent years, following in part the increased importance of the
nonprofit sector in many countries. (p. 239-240)
This new role of nonprofit organizations affects the relationships between the nonprofit sector and the
public and private sectors. Nonprofit organizations no longer provide only humanitarian services; their
increasing role is influencing and shaping the policy process and the economy. Additionally, nonprofit
organizations have a clear influence in the market as a result of the increasing role that the nonprofit sector
plays in the national economy. Thus, collaboration among the three sectors should benefit all three sectors;
however, every sector has its own way of functioning, with different motivations and agendas.
Recognizing the increasing role of the nonprofit sector in shaping and influencing the policy process
and the economy is the first step in organizing and controlling the sector. Consequently, legislations and rules
governing nonprofit organizations participation in the policy process need to be updated to consider the
increasing role of the sector. In addition, voluntary workers and employees at nonprofit organizations need to
be sufficiently prepared, through training and other methods, in order for the organizations to be efficient and
effective in participating in the policy process. Finally, the relationships among the nonprofit, public, and
private sectors are more intertwined now than ever, and thus collaboration among these sectors is inevitable
and should be beneficial to all sectors.

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89

Building Blocks for Raising Healthy and Successful Youth:
A Profile of Development Assets of Youth Living in Tirana City, Albania

Livia Nano

Faculty of Social Sciences, University of Tirana, Albania.
Email:livia.nano@gmail.com

Doi: 10.5901/mjss.2012.03.01.89

Abstract This paper begins by shortly presenting two approaches to helping young people grow up healthy and successfully: 1)
problems prevention / reduction approach and 2) strength-based approach; by emphasizing the need to find a balance between
the two. Furthermore, the paper focuses on the strength-based approach by presenting Search Institutes Development Asset
Framework. This framework identifies 40 elements of young peoples positive growth and development. This section is followed
by an overview of the state of development assets among young people attending public secondary and high schools of Tirana
city, in Albania, by providing an analysis according to eight assets categories (support, empowerment, boundaries and
expectations, constructive use of time, commitment to learning, positive values, social competencies and positive identity) as
well as according to five context areas (personal, family, school, social and community). The paper concludes by stressing the
power of development assets and the role that everyone may play in building these assets.

Key words: development assets framework, strength-based approach, positive development.

1. What do Children Need to Grow up Healthy and Successfully?

Until 1980s, young people have been implicitly or explicitly considered as problems to be managed (Benson
2006; Roth, Brooks-Gunn, Murray & Foster 1998) or at the best scenario as problems expected to happen
(Lerner, 2003). This approach is focused on problems identification (e.g. substance use, school drop-outs,
violence, juvenile delinquency etc.) and problems reduction through different prevention programs, early
interventions and provision of social services. (Lerner et al. 2005; Benson, 2003; Granger, 2002). Of course it
is very important to engage in preventing or reducing problems but this approach isnt sufficient on its own.
According to Pittman et al. (1996) and Lerner et al., (2000) problem free is not fully prepared At the
beginning of 1990s researchers, professionals of the field and policymakers started to make this important
statement the motto of their work. They acknowledged the need to support youth develop across different
areas, by taking into consideration cognitive, social, moral, vocational, cultural and physical wellbeing. In this
regard, they started to broaden the range strategies that addressed young people by highlighting the
importance of promoting positive elements of human development (Pittman et al. 2003). According to this
approach youth are perceived as resources to be developed. (Roth et al., 1998; Benson, 2006).
However, what communities most need today is a balance between the two approaches: 1. problems
prevention/reduction and 2. promotion of young people positive aspects (strength based approach). These
two approaches need to be seen as complementary of each other (Benson, 2003).

1.1 Development Assets Framework

Researchers from Search Institute
1
in their effort to identify variables of a strength based approach to healthy
development, designed the framework of development assets (Benson 2006). Assets are building blocks
1
Search Institute is a US-based independent, nonprofit, nonsectarian organization whose mission is to provide leadership, knowledge,
and resources to promote healthy children, youth and communities.

90
that young people need in order to grow up healthy and successfully. Search Institute has identifies 40
building blocks that help youth to fulfill their potential (Scales, 2000).
External Assets: 20 external assets focus on positive experiences that young people receive from family,
school, peers, community and other institutions. They can be grouped in four main categories (Benson, 2003;
2006):
- Support: Young people need to experience support, care, and love from their families and many others.
They need organizations and institutions that provide positive, supportive environments.
- Empowerment: Young people need to be valued by their community and have opportunities to
contribute to others. For this to occur, they must be safe and feel secure.
- Boundaries and expectations: Young people need to know what is expected to them and whether
activities and behaviors are in bounds or out bounds.
- Constructive use of time: Young people need constructive, enriching opportunities for growth through
creative activities, youth programs, congregational involvement and quality time at home.
Internal Assets: 20 internal assets reflect internal values, skills and beliefs that young people also need to
fully engage with and function in the world around them. More specifically they are grouped as following:
(Benson, 2003; 2006):
- Commitment to learning: Young people need to develop a lifelong commitment to education and
learning.
- Positive values: Youth need to develop strong values that guide their choices.
- Social competencies: Young people need skills and competencies that equip them to make positive
choices, build relationships, and succeed in life.
- Positive identity: Young people need a strong sense of their own power, purpose, worth and promise.
But how is the state of development assets among young people living in Tirana city, Albania
2
? The following
section will present the main findings in this regard.

2. Methodology

The data presented in this paper are based on a representative random sample of 1878, 6th to 12th-grade
students in public secondary and high schools of Tirana city. The sample is large and diverse, it has been
drawn from all public secondary and high schools from all mini-municipalities of Tirana city
3
. The table below
summarizes the demographic composition of the sample:

Table 1. Demographic composition of the sample.

Number of youth surveyed Percent of Total
Total sample 1878 100
Gender
Male 881 46.9
Female 997 53.1
Grade
6 338 18.0
2
Tirana is the capital city of Albania (situated in South East Europe). As of 2008, the urban population was officially estimated at
618,431. Tirana is home to a significant young population. As such it is host to many public and private academic institutions.
3
The Municipality of Tirana city is divided into 11 smaller administrative units referred to as Njsi Bashkiake (mini-municipal Units).

91
7 321 17.1
8 320 17.0
9 329 17.5
10 209 11.1
11 183 9.7
12 178 9.5

The instrument used to collect data was DAP (Development Assets Profile), an instrument developed by
Search Institute, based on the Development Asset framework and validated for the Albanian context
4
. This
58-item survey uses a simple four-point response scale for all its items (Not at all or Rarely / Sometimes /
Often/ Always). DAP was administered individually like any other self-report questionnaire. It took on average
one hour to administer DAP with young people this time includes not only completion of DAP survey by
youth but also instruction giving and a warm up exercise at the beginning of the process. After screening for
validity, completeness and recoding any problematic responses, the DAP surveys has been entered and
scored using Excel, as well as SPSS for more advanced analysis. The survey items can be grouped and
interpreted according to eight assets categories (1.support, 2. empowerment, 3. boundaries and
expectations, 4. constructive use of time, 5. commitment to learning, 6. positive values, 7. social
competencies and 8. positive identity), as well as according to five context areas (1. personal, 2. family, 3.
school, 4. social and 5. community), by providing in this way useful information on the state of development
assets among youth in Tirana city.

3. Findings and Interpretation

Data analysis revealed that the total assets score of surveyed youth is 41 (out of 60, the maximum score)
5

(see Fig.1), meaning that overall youth living in Tirana city are at the lowest limit of the Good range with
regards to development assets. This score represents relatively moderate level of reported assets overall,
but levels vary across asset categories and context areas. Generally speaking, youth with total assets score
in this range may have a higher risk of negative outcomes such as tobacco, alcohol and drug use, peer
conflicts, antisocial behavior and violence, sexual activity and teen pregnancy; as well as lower chances of
positive outcomes such as school success, thriving and leadership, compared to youth with higher total
assets score. Nevertheless, the total assets score in this range is promising , indicating that there is a
combination of weaknesses and strengths upon which to build (Search Institute, 2005).

Figure 1. Mean scores for eight assets categories and five context areas

Support Epowerment
Boundaries &
Expectations
Constructive
use of time
External Assets mean
score
21.62 20.4 21.67 15.48 19.93
Commitment to
learning
Positive
values Social Skills
Positive
Identity
Internal Assets mean
score
Total
Assets
score
41.42
4
Search Institute in collaboration with World Vision in Albania contextualized DAP for Albanian context in 2009.
5
Total assets score is the sum of scores on the external and internal asset scales, thus ranging from 0-60. Interpretative ranges for the
total asset score: Excellent: 51-60; Good: 41-50; Fair: 30-40; Low: 0-29 (Search Institute, 2005).

92
22.56 20.38 21.75 20.84 21.49

Personal Social Family School Community
22.03 20.52 24.39 23.13 15.19
Context
Areas

3.1 Assets Categories

In terms of the two broad categories external assets vs. internal assets data analysis indicated that youth in
Tirana city are doing a little better in terms of internal assets than external assets, however the difference
between the two could not be considered meaningful with the Internal Assets ranging at the lowest level of
Good range (21-25) and External Assets ranging at the highest level of the Fair range (15-20) (see mean
scores at Fig.1), representing in this way a mixture of strengths and weaknesses in these two broad assets
categories .
Overall, the external assets mean score
6
of (19.93) (see Fig.1) represents a relatively borderline level of
assets experienced by youth in Tirana city this means that some assets are experienced but some are
weak and/or infrequent. This leads to considerable room for strengthening assets in some areas. More
specifically:
Good score on the Support scale (21.67) (see Fig.1) suggests a mixture of strengths and
weaknesses across specific assets included in this category. Strength areas are related to parent-
child communication, family support, supportive school environment; while encouragement and
support in community is an area that needs special consideration.
Fair score on Empowerment scale (20.4) (see Fig.1) indicates for strengths in the area of safety
across family, school and community, but on the other side it reflects a pattern of weaknesses with
regards to youth feeling valued and respected by others and being perceived as resources in the
community.
Good score on Boundaries & Expectations scale (21.67) (see Fig.1) is a consequence of a general
pattern of assets within this category related mainly with positive role models among friends, family
and outside the family, plus the presence of clear rules and consequences at home and school,
with the exception of neighborhood boundaries (clear rules and consequences at community).
Fair score on Constructive use of time (15.48) (see Fig.1) reflects little involvement in three
extracurricular areas: religious or spiritual activity; creative activities; and sport, club or other group;
with the exception of moderate degree of reported family life involvement.
The internal assets the mean score
7
of (21.49) (see Fig.1) shows that youth in Tirana city are experiencing
moderate level of assets most assets are experienced often, but still there is room for improvement. More
specifically:
Good score on Commitment to learning scale (22.56) (see Fig.1) represents uniformly moderate
commitment to learning across the following items: bonding to school, school engagement,
achievement motivation, and homework; and relative weakness in terms of the reading for pleasure
item.
Positive values scale scoring at the highest level of Fair range (20.38) (see Fig.1) is due to a
combination of strengths and weaknesses in sub-areas. Relatively strong areas are: restrain,
6
Interpretative ranges for DAP External Asset scale and Assets Categories under this scale: excellent: 26-30; good: 21-25; fair:15-20;
low: 0-14 (Search Institute, 2005).
7
Interpretative ranges for DAP Internal Assets scale and Assets Categories under this scale: excellent: 26-30; good: 21-25; fair:15-20;
low: 0-14 (Search Institute, 2005).

93
caring, and responsibility. Weakness areas: equality and social justice, integrity, honesty.
Good score on Social skills scale (21.75) (see Fig.1) indicates moderate ratings in items related to
social competencies such as: ability to resist negative peer pressure, build friendship, accept
diversity; as well as lower ratings in terms of planning and decision making and ability to resolve
conflicts in a peaceful manner.
Positive Identity scale scoring at the highest level of Fair range (20.84) (see Fig.1) is linked with
relative strengths on items such as optimism and sense of purpose in life; and relative weakness
on items related to self-esteem and internal locus of control.

3.2 Context Areas

Good score on Personal context scale (22.03)
8
(see Fig.1) reflects individual characteristics,
particularly assets from Positive Values and Positive Identity as well as certain assets from Social
Competencies category.
Social context scale includes assets related to relationships with others, both adults and peer. More
specifically it includes assets from Social Competencies asset category, but also characteristics
such as support, role models, and helping others from other categories (Search Institute, 2005).
The score on Social context scale (20.52) (see Fig.1) ranging at the lowest level of the good scale
suggests that some assets related to social relationships are experienced by youth, however more
need to be done in terms of support, encouragement and positive role models necessary for health
development.
Family context scale reflects assets related to home and family (Search Institute, 2005). The score
on this scale (24.39) (see Fig.1) ranging at the highest level of the good scale suggests that youth
have good levels of safety, warmth and support at home; they have relatively good child-parent
communications. It also suggest that parents are relatively active in providing advice, setting and
enforcing rules and monitoring child behavior.
School context scale combines assets related to the school environment, relationships with
teachers, and youths attitude towards school (Search Institute, 2005). Good score on this context
scale (23.13) (see Fig.1) indicate that youth have a relatively safe and caring school environment
with clear rules that are generally fairly enforced, combined with a considerable personal
commitment to learning.
Community context scale combines assets related to neighborhood and community support,
empowerment and positive use of time in the larger community (Search Institute, 2005). The score
of Community context scale (15.19) (see Fig.1) ranging at the lowest level of the fair scale reflects
weak community assets for youth, relative poor community attitudes towards youth, relatively few
after-school activities and youth service opportunities.

4. Putting the Pieces Together

4.1 Assets Categories

Figure 2 shows eight categories of assets in descending order based on the mean scores. While figure 3
shows eight categories of assets based on the percentage of youth experiencing them always.

8
Interpretative ranges for DAP Context Areas: excellent: 26-30; good: 21-25; fair:15-20; low: 0-14 (Search Institute, 2005).


94
Figure 2. Mean score for eight assets categories

Figure 3. Percentage of youth who reported to have experienced always the assets categories

Commitment to learning is the assets category with the highest mean score, being at the middle of
Good range (21-25). Most assets under this category are experienced often but still there is room for
improvement. This assets category is reported to be experienced always only by one third of youth in
Tirana city.
Constructive use of time is the category with the lowest mean score (15.48), being at the lowest level of
the Fair range. This indicates that most assets under this category are experienced infrequently and
there is a great need to strength assets of this category. A very low percentage of young people (1%)
has reported to have experienced this asset category.
The rest of assets categories: Boundaries & Expectations (experienced by 25% of youth); Support
(experienced by 23% of youth), Social skills (experienced by 15% of youth), Positive Identity
(experienced by 14% of youth), Empowerment (experienced by 7% of youth); and Positive values
(experienced by only 5% of youth) are at the borderline of Fair and Good ranges meaning that some
assets are experienced often and some others are weak and infrequent . The results for these category
suggest the need for intervention to strengthen the assets.


95
4.2 Context categories

Figure 4 shows five contexts areas in descending order based on the mean scores. While figure 5 shows
context areas based on the percentage of youth experiencing them always

Figure 4 . Mean scores for five contexts areas

Figure 5. Percentage of young people who have reported to experience five contexts areas always

Family context area has the highest mean score among other context areas. Scoring at the highest level
of Good range (24.39) it suggests that assets of this areas are frequent. Furthermore about 44% of
young people have reported to have experienced this, indicating that this is an area of strength to build
upon.
Family context area is followed by school context area scoring at the middle of the Good range (23.13)
and being experienced by about one third of youth (34.3%).
Personal context and Social context areas are experienced by less youth respectively 12% and 6%,
highlighting the necessity to intervene in order to improve the situation.

96
Community context area has the lowest mean score (15.19) being at the lowest level of the Fair range,
indicating that most assets related to this area are experienced infrequently . Only 0.5% of youth have
reported to experience this area always. Based on this results there is a tremendous need to engage in
building assets related to this context area.

5. Assets in Specific Subgroups of Young People

Up to this point the focus has been on overall patterns of assets among all youth. When we look at specific
subgroups of youth we start to see some differences in their experience of assets.
For example, data analysis revealed that youth report a decline in assets experiences with age. From
grade sixth, youth report fewer assets. Theoretically, it would have been desirable for assets to increase
between 6
th
to 12
th
grade. On one aspect, a decline in assets may seem inevitable, as young people mature
and become more independent. But while some assets may become less essential across time (e.g., family
boundaries change as independence grows see Fig.6), there is no reason for most of assets to become less
important (Benson, et. al, 1999)
This research has also shown that assets are experienced by more females than males, although this
gender difference is not large.

Figure 6. Percentage of youth experiencing assets categories according to gender, grade, type of
school

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Total
sample 23.2 7.2 25.1 1.2 30.3 4.8 15.4 14.6 2.9 7.2 3.7
Gender
Male 22.2 6.6 23.4 1 24 4.4 10.9 17.9 2.3 6.1 2.4
Female 24 7.7 26.7 1.3 35.9 5.2 19.5 11.6 3.4 8.2 4.9
Grade
grade 6 37.6 8.6 42.6 2.4 50.6 9.8 21.9 12.1 5.3 13.6 8.3
grade 7 32.7 9.7 37.7 1.2 38.6 8.1 18.4 15.6 5 12.1 5.9
grade 8 20.3 3.8 20.3 2.2 28.1 3.4 15 15 1.6 5.6 2.5
grade 9 21.3 9.4 23.7 0.9 23.7 4.3 14.9 21 4 5.5 3.3
grade 10 11.5 4.3 10 0 16.3 0 12.9 10 0 2.4 0.5
grade 11 14.8 8.2 14.8 0 29.5 2.2 9.8 15.8 0.5 4.4 1.1
grade 12 9.6 4.5 9 0 10.1 1.7 8.4 0 0.6 1.1 0.6
High / secondary
school

High
school 11.9 5.6 11.2 0 18.6 1.2 10.5 11.6 0.4 2.6 0.7
Secondary
school 28.1 7.9 31.2 1.7 35.4 6.4 17.6 15.9 4 9.3 5


97
6. Instead of Conclusions

The development assets framework offers a positive and optimistic response to the challenges and risks
young people face nowadays. Research has shown that the more assets young people have: The more likely
they are to have high commitment to learning and high academic performance. Likewise, they are likely to
be very involved in a range of extracurricular activities, demonstrate leadership skills, resist danger and
control impulsive behavior, value diversity, maintain good personal health and overcome adversity.
Furthermore, this is significantly related to increasing protection against negative behaviors such as:
substance use, peer conflicts, antisocial behavior, violence, delinquency, school truancy, premature sexual
activity and teen pregnancy etc (Fisher, 2008 & Benson, et. al., 1999). In this regard the assets provide a
framework for action that encourages all individuals to make a difference. Search Institute has identified six
principles that guide the assets building efforts (Search Institute, 2006):
1) All young people need assets: Although it is important to focus on youth at risk, or disadvantaged
ones, all young people will benefit from having more assets than they have.
2) Everyone can build assets: All adults, youth, teachers, parents, community members etc. can play
a role in developing assets.
3) Relationships are key: Strong relationships between adults and young people, between young
people and their peers, teenagers and children are central to assets building.
4) Asset building is on ongoing process: Building assets starts when a child is born and continues
through high school and beyond.
5) Consistent messages are important: It is important that all actors give young people consistent and
positive messages about what is important and what is expected from them.
6) Intentional repetition is important: Assets must be continually reinforced across the years and in all
areas of a young persons life.

References

Benson, P.L. (2006) All kids are our kids: What communities must do to raise caring and responsible children and adolescents (2
nd
Ed.).
San Francissco: Jossey-Bass.
Benson, P. L. (2003) Development Assets and Asset-Building Community: Conceptual and Empirical Foundations, in R. Lerner and P.L.
Benson (eds) Development Assets and asset-building communities: implications for research, policy and practice, pp. 19-43.
New York: Kluwer Academic / Plenum Publishers.
Benson, P.L., Scales, P.C., Leffert, N., Roehlkepartain, E.C. (1999) A fragile foundation: The state of development assets among
American youth. Minneapolis: Search Institute
Fisher, D. (2008) Quick-start guide to building assets in your prevention programs. Minneapolis, MN: Search Institute Press.
Granger, R.C. (2002) Creating the conditions linked to positive youth development. New Directions for Youth Development, No.95, Wiley
Periodicals, INC.
Lerner, R. M., Fisher, C.B., & Weinberg, R.A. (2000) Toward a science for and of the people: Promoting civil society through the
application of developmental science. Child Development, 71, 11-20.
Lerner, R.M. (2003) Development Assets and Asset-Building Communities: A view of the issues. In Lerner & Benson (eds). Development
Assets and asset-building communities: implications for research, policy and practice. New York: Kluwer Academic / Plenum
Publishers.
Lerner, R.M. et al. (2005) Positive youth development, Participation in Community youth development programs and community
contributions of fifth-grade adolescents. Journal of Early Adolescence, Vol.25 No.1, 17-71 Sage Publication.
Pittman, K. & Irby, M. (1996) Preventing problems or promoting development: competing priorities or inseparatable goals: Baltimore, MD:
International Youth Foundation.
Pittman, K., Irby, M., Tolman, J., Yohalem, N., Ferber, T. (2003) Preventing problems, promoting development, encouraging
engagement: competing priorities or inseparable goals? Based upon Pittman, K., and Irby, M. (1996) Preventing problems or
Promoting development: Washington, DC: The Forum for Youth Investment, Impact Strategies Inc.
Roth, J., Brooks-Gunn, J., Murray, L. & Foster, W. (1998) Promoting health adolescents: Synthesis of youth development program
evaluations. Journal of Research on Adolescence, 8, 423-459.
Scale, P. (2000) Building students development assets to promote health and school success. Clearing House 74: 84-88.
Search Institute (2006) The Asset Approach. Minneapolis: Search Institute.
Search Institute (2005) Development Assets Profile: User Manual. Minneapolis: Search Institute.


99

Teachers Perception of School-Based Assessment in Nigerian Secondary Schools

Alaba Adeyemi Adediwura

Dept of Educational Foundations and Counselling
Faculty of Education Obafemi Awolowo University, Ile-Ife
Email Yemtoy20002000@yahoo.com

Doi: 10.5901/mjss.2012.03.01.99

Abstract The study investigated the perceived effect of SBA on Nigerian secondary school teachers, with the specific aim of
determining the preparedness of the teachers to conduct SBA as well as the perceived effect of the SBA on their teaching
practices and students learning. The population for the study consist of secondary school teachers in the six South-Western
State of Nigeria. From each of the six states, six secondary schools were purposively selected based on owner ship of the
schools. A total number of 36 secondary schools were involved in the study. From each of the schools 15 teachers were
randomly selected to take part in the study. Thus the study sample size was 540 teachers. An adapted questionnaire was used
to collect the study data. The adapted questionnaire was named Nigerian Teachers Perception of School-Based Assessment
Questionnaire. This questionnaire was divided into four sections of A, B, C and D. Sections B, C, and D of the instrument
respectively have a test-retest reliability of (r = 0.72, 0.77 & 0.73 = < .05) over a period of two weeks and Cronbach coefficient
alpha (0.79, 0.70 and 0.71). The result indicated that more than half of the sampled teachers were not adequately prepare to
conduct SBA. However, teachers from Federal Government Colleges were better prepared. It was also discovered that more
than fifty percent of the teachers have a negative perception of the effect of SBA on their teaching practices and on students
learning. The study therefore suggests effective monitoring of educational policy implementation and timely in-service training
for all teachers irrespective of school owner.

Keywords: Teachers perception, School-Based Assessment, Teaching Practice, Students Learning

1. Introduction

Studies in the field of general education have established the influence of testing on the process of teaching
and learning (Chapman & Snyder, 2000; Wall, 2000; Wall & Alderson, 1993). Test results across the world
are used as an indicator of the performance of teachers, schools, and the accountability of the education
system.
In many education systems around the world, assessment being used for summative, accountability,
and evaluation purposes plays an important and indispensable part to cater for the diverse and often
competing demands of the various stakeholders and users of assessment information, for example, selecting
the best students for the next level of education, monitoring school performance, or allocating limited
resources (Pongi, 2004).
As a result of the great value placed on testing, some believe that testing provides incentives to
students and their teachers to improve test performance. The society accessibility to test results also pushes
schools to provide any support necessary for the same purpose. These efforts therefore, are believed to help
raise the level of achievements.
However, it has also been argued that testing only motivates teachers and students to work towards
performance goals rather than learning goals. According to Linn, (2000) the increase in scores, especially in
high-stakes testing context, most likely indicates teachers and students familiarity with test requirements and
formats rather than the real improvement in learning. Linn also assert that the ability of standardized testing
to measure the whole range of knowledge and skills that students are supposed to acquire is questionable.
There has been abundant research in the literature examining the consequences when test results are used
to inform these high-stakes decisions. For instance, high-stakes tests can induce test anxiety, lack of
motivation for meaningful learning, and low self-esteem and self-efficacy, especially for low-achieving

100
students (Assessment Reform Group, 2002; Harlen, 2005). Teachers, in order to drive up test scores, tend to
teach to the test, focusing on what is to be tested and developing test taking strategies, but ignoring those
skills not covered in the test (Andrews, Fullilove, Wong, 2002; Shohamy, 1996; Smith, 1991). High-stakes
tests, as Harlen (2005) points out, designed to achieve maximum objectivity for all students, may exclude
skills that cannot be easily tested in the exam situation, for example, problem solving and critical thinking.
This results in what is referred to as narrowing of the curriculum (Alderson & Wall, 1993; Shohamy, 1992).
As a result of the negative consequences of current testing practices researchers have revisited the
purpose and value of assessment in the teaching and learning processes. It was noticed that testing mainly
serves the purpose of summarizing students achievement by giving grades and reporting marks to students
at the end of teaching and learning (Assessment Reform Group, 2002). In most cases, standardized tests are
externally set, and therefore may lack strong linkage with instruction. Hamayan, (1995) also put it forward
that, test information is often used to compare an individual to a larger student population. Due to these
issues, it is pointed out that attention should refocus on assessment as an effective tool to promote learning
and as an integral part of teaching and learning (Assessment Reform Group, 2002). With this shift in the
priorities and commitment of assessment practice, a distinction is made between assessment of learning
and assessment for learning. Assessment for learning refers to assessment activities that are embedded
in normal teaching and learning processes with the purpose of providing feedback for both teachers and
students to plan the next step of teaching and learning (Black, Harrison, Lee, Marshall, & William, 2003).
Assessment of learning, on the other hand, refers to formal tests carried out after a certain learning period
or at the end of a course, the results of which are used mainly for comparison, selection, or accountability
purposes (Black, et al., 2003). This distinction (between assessment for learning and assessment of learning)
represents a paradigm shift in assessment, from psychometrics to a broader model of educational
assessment, from a testing and examination culture to an assessment culture (Gipps, 1994).
Based on the facts that every individual student is unique and possesses personal ability to learn, make
progress and excel in their academic career, the school system should therefore develop the multiple
intelligences and potentials of each student. The new Nigeria National Policy on Education therefore
recommends a change in assessment practices and schools should put more emphasis on Assessment for
Learning as an integral part of the learning, teaching and assessment cycle. It was against this background
that a school-based assessment (SBA) component was added to the Basic School Certificate Examination
(BSCE) and the Senior School Certificate Examination (SSCE).
The SBA initiatives impose great challenge to the perceptions of teachers and students. For example,
in a certificate-dominated culture such as Nigeria, teachers mainly serve as providers of knowledge, and
students as the recipients. However, in the new SBA component, teachers are supposed to take up the roles
of both teacher and assessor, assessing their own students work and providing constructive feedback for
students to improve learning. SBA also claims to hand over much ownership and autonomy of the learning
process back to students by promoting students skills in self/peer assessment. It is important, therefore, to
explore how teachers and students adjust themselves to the shift of their roles, how they collaborate with one
another to cope with the changes, and the extent to which SBA appears to influence their perceptions, and
subsequently their behaviours.
According to Yusuf (1994), school-based assessment provides a cumulative teacher judgment about
the performance of individual students work, based on a systematic collection of grades or marks. If used
appropriately, school based assessment can serve as a monitoring device by feeding back the information
collected to teachers to adjust their teaching and to students to improve their learning. In Ahmed and
Williams (1994) definition, school-based assessment contains the following features: a wide range of
assessment tasks and skills assessed, flexibility in assessment form (written or oral), and the use of open
ended questions. From these descriptions, it can be seen that views about school-based assessment are
different, probably due to the different purposes that school-based assessment is used for in different
educational settings. In school-based assessment (SBA), assessment for both formative and summative

101
purposes is integrated into the teaching and learning process, with teachers involved at all stages of the
assessment cycle, from planning the assessment program, to identifying and/or developing appropriate
assessment tasks right through to making the final judgments. As assessments are conducted by the
students own teacher in their own classroom, students are meant to play an active role in the assessment
process, particularly through the use of self and/or peer assessment used in conjunction with formative
teacher feedback (Davison, 2007, p.38).
The system is criterion referenced and progressive, with teachers making a judgment on the quality of
students learning against a specified performance standard through collecting evidence of students learning
over a period of time and collating the evidence in a student portfolio (Maxwell, 2004). Crook (2002), opined
that from early childhood education to tertiary education, the responsibility of assessing individual students
largely lies in the hands of their classroom teachers, except for the involvement of national examinations at
the end of secondary education and some examinations for qualification purposes in polytechnics. According
to Crooks (2000), the stakes associated with these standardized tests are usually low. The main purposes of
SBA are to enhance students learning, provide feedback to parents and students, award senior secondary
school qualifications, monitor overall nationwide educational standards, and identify learning needs to
effectively allocate resources (Crooks, 2002). Among these various purposes, improving students
achievement is the first priority. There are major differences between the SBA practices in primary schools
and those in secondary schools, in the form of the feedback provided to students and the use of marks. In
primary schools, teachers keep record of their observation and judgment of some of their students work and
provide feedback to students while the work is in progress. Usually, especially in the earlier years of primary
schooling, no end-of-term or end-of-year grades or marks are given. By contrast, much of the feedback
students receive in secondary schools comes along with formal marks or grades. A final mark or grade is
given based on the accumulated and aggregated marks in a number of significant pieces of work (Crooks,
2002).
Research studies have gathered evidence showing benefits of assessment for learning or formative
assessment to students learning. With the shift in teachers role to that of a facilitator in formative
assessment, students change from passive recipients of information and knowledge to active participants in
the classroom (Black et al, 2003). Students tend to take more responsibility for their learning and become
more independent learners (Black, et al., 2003; Organization for Economic Co-operation and Development,
2005). When students are offered some element of choice in terms of task type and the techniques used to
tackle problems or express ideas, they are more motivated to find out solutions to problems themselves and
thus develop knowledge and skills (Bullock, Bishop, Martin, & Reid, 2002). In other words, students enjoy the
sense of ownership of their own work and the freedom they have in the assessment process.
Black et al (2003) argues that once students become independent learners, they will develop skills in
meta-cognition, which can bring about surprising consequences in terms of learning outcomes. The
researchers noted in their study that formative assessment process encouraged students to think more, to
develop skills in assessing themselves or their peers, and to learn to be collaborative learners. A large-scale
study (Organization for Economic Co-operation and Development, 2005) conducted across eight countries
reports similarly positive findings in relation to students skills development and knowledge building. With the
use of formative assessment, students come up with better work product, learn to see the linkage between
classroom learning and their real-life situations, and draw connection between new concepts and the
knowledge they previously acquired. The effects of assessment for learning have also been found to lead to
achievement gains in externally mandated examinations (Assessment Reform Group, 1999).
Formative assessment or school-based assessment can also influence student affects, for example,
motivation, self-esteem, and confidence (Black & Wiliam, 1998). Cowie (2005a, 2005b) found in his studies
that students trust and respect were important in assessment for learning. Along with a sense of comfort or
safety based on trust, the students identified respect as important to their active involvement in assessment
interactions with teachers and peers. (2005b, p. 210).

102
Teachers willingness to re-explain ideas and giving feedback in the form of suggestions were
appreciated by the students. In terms of student attitudes, Iredale (1990) found that, in comparison of
summative assessment and formative assessment, a large majority of the students welcomed the latter, as
they believed that their actual ability may not be well reflected in a single exam, and that formative
assessment practice was fairer, especially to students with test anxiety.
Other reasons for the popularity of formative assessment among the majority of students were that
formative assessment provided feedback to their work, showed them the direction of work in relation to
learning goals, and gave them a sense of achievement. Some studies have explored the possibility of using
summative tests for formative purposes and the potential effects on learning. In the assessment for learning
project conducted in the UK (Black, et al., 2003), because of the reality that it was not possible to stay clear
of summative assessment, formative approaches were incorporated into the use of summative tests. These
approaches were reported as effective. For example, the students were asked to use past exam papers to
identify areas of knowledge that they felt secure of or their areas of weakness. The students were also
involved in generating and answering their own questions. They claimed that this helped them to understand
the exam process and to devote efforts to improvement. With the incorporation of formative strategies in
summative test use, some students reported that the pressure to succeed in tests was removed by the need
to understand what was to be covered in the tests.
In their assessment for learning project, Black and his colleagues (2003) also noticed positive changes
in teaching practices brought about by formative assessment. For instance, teachers increase the wait time
of questioning to elicit from students longer replies to questions, and involve students in listening to and
commenting on their peers answers. Through these, teachers are able to gather rich information about the
current understanding of their students and evidence to plan the next steps in teaching and learning, rather
than simply follow a pre-set scheme of work. This formative approach to questioning shifts teachers previous
focus on accepting an answer to a focus on what students say. Alongside this shift of attention, teachers also
move away from routine factual questions. They spend more time preparing quality questions often derived
from incorrect answers in students class work or homework. The foci of the questions are on challenging
common misconceptions, creating opportunity for discussion, and clarifying
ambiguity. (Koretz, Stecher, Klein, & McCaffery, 1994) found in the Vermont portfolio program that
when assessment practices aimed at providing high quality data about students achievement and inducing
improvements in learning, teachers spent more time in problem solving and communication, and provided
more chances for students to get involved in pair and group work. Formative assessment has also been
found to increase teachers awareness in scaffolding students to achieve the learning goals, identifying
students learning needs, adapting their instruction accordingly, and exploring teaching approaches that work
effectively (Organization for Economic Co-operation and Development, 2005).
Changes in teachers perceptions of teaching and of the role they play have also been reported as a
result of formative assessment. As noted in Black et al.s (2003) project, teachers start to see teaching as
facilitating students learning, rather than simply as completing the curriculum. They treat the curriculum as a
set of goals for students to achieve, through which they are able to see the gap between the goals and
students current state of learning. Teachers perceptions of students as having a fixed level of ability also
change. They begin to see that their students are able to improve with appropriate help and support, and thus
try to minimize competition among students, which they realize is demoralizing, especially to students who
find it difficult to achieve some learning goals.
Another benefit of formative assessment or teacher assessment to teachers is related to professional
development. Hall et al. (1997) conducted a study to investigate teacher assessment (TA) at the level of
classroom practice. The teachers participating in the study claimed that the need to assess the students
pushed them to plan their teaching in greater depth for the short, medium and longer term. They became
aware of the importance of keeping a regular and close eye on students work, which gave them a better
insight into students ability and made them more focused on teaching. Similar to Hall et al. (1997), Valencia

103
and Au (1997) claim that by close examination of students work, teachers become clear about the meaning
of learning outcomes and learn to interpret students performance based on multiple evidence.
Despite the increasing evidence for the positive impact of assessment for learning or school-based
assessment, it cannot be expected that the change process is easy to manage or predict, given the complex
teaching context and multiple dimensions of teacher factors (Black, 2005; Sato, Coffey, & Moorthy, 2005).
Any exploration of the possibility of implementing assessment for learning or school based assessment
needs to look at a micro level, into the nature of this change, and at a macro level, into the contexts and
condition in which it is being developed (Black, 2005, p. 133). Previous research has identified a number of
factors which may influence the implementation of assessment for learning or SBA. The study therefore is
aimed at determining the perceived effect of SBA on Nigerian teacher. Specifically the study is aimed at
determining:
1. The preparedness of Nigerian secondary school teachers to conduct SBA
2. The relationship between teachers preparedness to conduct SBA and Teachers school.
3. Teachers perception of the effect of SBA on their teaching practices
4. The difference in teachers perception of the effect of SBA on their teaching practices based
School.
5. The relationship between the perceived effect of SBA on students learning and school.

2. Research Questions

1. How well prepared are Nigerian secondary school teachers to conduct SBA?
2. What are the perceived effects of SBA on Nigerian secondary school teachers teaching practices?

3. Research Hypotheses

1. The relationship between teachers preparedness to conduct SBA and teachers school is
significantly greater than zero
2. The difference in teachers perception of the effect of SBA on their teaching practices based on
School is not significant
3. School has no influence on teachers perception of the effect of SBA on students learning

4. Method

4.1 Population and Sample

The population for the study consist of secondary school teachers in the six South-Western State of Nigeria.
From each of the six states, six secondary schools were selected based on owner ship of the schools. The
schools were made up of; two Federal Government owned secondary schools, two state owned public
secondary schools and two private owned secondary schools from each of the States. A total number of 36
secondary schools were involved in the study. From each of the schools 15 teachers were randomly selected
to take part in the study. Thus the study sample size was 540 teachers.

4.2 Research Instrument

A questionnaire adapted from Yu (2010) was used to collect the study data. The adapted questionnaire was
named Nigerian Teachers Perception of School-Based Assessment Questionnaire. This questionnaire was
divided into four sections of A, B, C and D. Section A contains items on demographic information such as,
name of schools, sex and years of teaching experience. Section B contained eight items that centres on the

104
extent to which teachers consider themselves ready for the implementation of SBA in terms of their
understanding of SBA requirements and professional knowledge in conducting SBA. Section C of the
questionnaire contained ten items that focuses on teachers perceptions of the effects of SBA on their
teaching practices while section D contained nine items that were aimed at determining teachers perception
of the effects of SBA on students learning.
The items were designed in a 4-point Likert scale, with 1 = strongly disagree, 2 = disagree, 3 = agree, and 4
= strongly agree. For section B the minimum and maximum expected score obtainable respectively is eight
and thirty-two. Scores below 20 in this section is considered not adequately prepared while scores equal to or
greater than 20 were considered to mean adequately prepared. The expected minimum and maximum
obtainable score for section C and D are 10 and 40 respectively. A teacher with less than a score of 24 in this
section is considered to have negative perception while a teacher with a score that is greater than or equal to
24 is considered to have positive perception. Sections B, C, and D of the instrument respectively has a test-
retest reliability of over a period of two weeks (r = 0.72, 0.77 & 0.73 = < .05) and Cronbach coefficient alpha
(0.79, 0.70 and 0.71).

3 Results

In providing answer to the first research question of this study that is how well prepared are Nigerian
secondary school teachers to conduct SBA?, teachers responses to section B of the questionnaire were
analysed using simple frequency count and percentages. Table 1 presents the result of the analysis

Table 1. Teachers Preparedness to Conduct SBA in Nigerian Secondary School

Teacher's Preparedness Teacher's Preparedness Response
Strongly Disagree Disagree Agree Strongly Agree
I have a good understanding of the
requirement of SBA
199(36.9%) 121(22.4%) 99(18.3%) 121(22.4%)
procedures of SBA
211(39.1%) 109(20.2%) 95(17.6%) 125(23.1%)
I have a good understanding of the marking
criteria of SBA
209(38.7%) 111(20.6%) 98(18.1%) 122(22.6%)
moderation system of SBA
214(39.6%) 106(19.6%) 101(18.7%) 119(22.0%)
underlying assessment philosophy of SBA
209(38.7%) 111(20.6%) 95(17.6%) 125(23.1%)
I have had plenty of opportunities to attend
professional development courses on SBA
219(40.6%) 101(18.7%) 96(17.8%) 124(23.0%)
I have had plenty of opportunities to discuss
SBA with other teachers
215(39.8%) 105(19.4%) 76(14.1%) 144(26.7%)
I have had plenty of opportunities to discuss
the process and scoring criteria for SBA with
my students
210(38.9%) 110(20.4%) 76(14.1%) 144(26.7%)

From Table 1, it could be observed that for all the items only 40.7% of the sampled teachers responded
positively, indicating that more than half of the 540 sampled teachers responded negatively to the items.
For a clearer picture of Nigerian secondary school teachers preparedness to conduct SBA, individual
teachers actual response to the items were scored and the overall score of each teacher was used

105
determine their preparedness. A teacher with a score below 20 is considered to be inadequately prepared
while a teacher with a score greater than or equal to 20 is considered adequately prepared. Teachers
preparedness (adequate or inadequate) was then cross tabulated with school using SPSS so as to find out
the relationship between teachers school and their preparedness to conduct SBA in Nigerian Secondary
Schools. Table 2 presents the result of the analysis.

Table 2. Relationship between teachers school and their preparedness to conduct SBA

Schools Teachers Preparedness to Conduct SBA

Adequate Inadequate
_
2

df

p
Federal Government Colleges 118 (65.6%)) 62(34.4%
State Public Schools 71(39.4%) 109(60.6%)
Private School 31(17.2%) 149(82.8%)

82.274

2

< .05

It is presented in Table 2, that generally more than half of the sampled teachers were not adequately
prepared. While 65.6% of Federal Government College teachers were adequately prepared only 39.4% and
17.2% of state public and private school teachers respectively were adequately prepared for the conduct of
SBA in the schools. The chi-square value ((_
2
= 82.274) implies that Nigerian secondary school teachers
preparedness to conduct SBA has a significant relationship with the teachers school. Thus, the relationship
between teachers preparedness to conduct SBA and teachers school is not significantly greater than zero.
Hence hypothesis one is rejected.
To answer researcher question 2, what are the perceived effects of SBA on Nigerian secondary school
teachers teaching practices? Teachers response to section C of the questionnaire were analysed and the
result is as presented on Table 3.

Table 3. Teachers Perceived Effectiveness of SBA on Teaching Practice

Teachers' Teaching Practices Perceived Effectiveness of SBA on Teachers' Teaching Practice
Strongly Disagree Disagree Agree Strongly agree
I teach my students according to the
SBA requirement
209(38.7%) 111(20.6%) 91(16.9%) 129(23.9%)
I put more emphasis on fostering the
development of students' all round skills
219(40.6%) 101(18.7%) 100(18.5%) 120(22.2%)
I put more emphasis on the integration
of skills
209(38.7%) 111(20.6%) 100(18.5%) 120(22.2%)
I put more emphasis on giving my
students feedback
206(38.1%) 114(21.1%) 101(18.7%) 119(22.0%)
I used feedback on my students' SBA
performance to improve my teaching
211(39.1%) 109(20.2%) 91(16.9%) 129(23.9%)
I involve my students more in self
assessment
201(37.2%) 119(22.0%) 91(16.9%) 129(23.9%)
I involve my students more in peer
assessment
205(38.0%) 115(21.3%) 74(13.7%) 146(27.0%)
I have provided more opportunities for
my students to interact during class
210(38.9%) 110(20.4%) 70(13.0%) 150(27.8%)

106
I am more motivated to share my
teaching material/ideas with other
teachers
209(38.7%) 111(20.6%) 100(18.5%) 120(22.2%)
I have made more efforts to promote
extensive reading habit in my students
206(38.1%) 114(21.1%) 101(18.7%) 119(22.0%)

It could be observed in Table 3 that while only 23.9% of the 540 sampled teachers strongly agreed with
items; 1, 2 and 3, a total of 38.7%, 39.1 and 37.2% respectively strongly disagree with the items and in all for
the three items more than 50% of the teachers negatively responded to the items. Furthermore, while 40.6%
and 38.7% of the teachers respectively strongly disagreed with items 2, 3 and 4, 22.2% of the teachers
strongly agree with the items. In general from the Table it could be concluded that more than half of the
sampled teachers do not perceive the effectiveness of SBA on their teaching practice positively.
To test hypothesis 2, The difference in teachers perception of the effect of SBA on their teaching
practices based on school is not significant, teachers response to section C of the questionnaire was scored
and it was sorted into positive and negative perception based on their scores (< 24 implies negative and > 24
positive). UNIANOVA analysis was then carried out on the data generated based on school and sex. Tables
4 and 5 and 6 and 7 present the results for school and sex respectively.

Table 4. Descriptive Statistics of Teachers Perception of the Effects of SBA on their Teaching
Practices

School
Teachers Perception of the
Effects of SBA on their
Teaching Practices Mean Std. Deviation N
Positive Perception 31.8318 3.31801 107 Federal Government College
Negative Perception 20.3699 3.03455 73
Positive Perception 28.2375 3.41346 80 State Public School
Positive Perception 29.0476 3.42838 42 Private School
Positive Perception 30.0655 3.75454 229
Total
Total 23.4463 6.57728 540

Table 4 presents the mean and standard deviation of teachers perception of the effects of SBA on their
teaching practices as well as number of teachers from the sampled schools with positive as well as negative
perception. The Table revealed that 107 of the 180 teachers from the Federal Government Colleges has
positive perception of the effect of SBA on their teaching practices, while 80 and 42 from state public schools
and private schools respectively has positive perception of the effects of SBA on their teaching practices.
Perception means as shown in the Table reveal there are differences in the sample perception of SBA effect
on teaching practices, hence, a UNIANOVA analysis using SPSS was carried out to determine the strength
of the interaction between school and teachers perception that was noticed in the Table.


107
Table 5. UNIANOVA Showing the Interaction Effect between School and Teachers Perception of the
effect of SBA on Teaching Practices.

Source
Type III Sum
of Squares Df Mean Square F Sig.
Hypothesis 276899.791 1 276899.791 19.964 .140 Intercept
Error 13869.963 1 13869.963
a

Hypothesis 836.253 2 418.127 11.869 .078 School
Error 70.456 2 35.228
b

Hypothesis 13869.963 1 13869.963 397.159 .002 Teachers Perception
Error 70.280 2.012 34.923
c

Hypothesis 70.456 2 35.228 3.827 .022 School * Teachers
Perception
Error 4915.818 534 9.206
d

It was revealed in Table 3 that within each school there is no significant difference with an F-value (F =
11.869 p > .05). However, within the teachers perception the result as contained in the Table indicated a
significant difference with an F-value (F = 397.159, p<.05) that is the difference between positive and
negative perception of the effect of SBA on teaching practice is significant. Final when teacher perception is
compared based on school where the teachers perform their professional function, it was discovered that the
difference in perception is significant with F-value (F = 3.827, p < .05). Thus it could be concluded that based
on school the difference in teachers perception of the effect of SBA on their teaching practices is significant,
therefore the null hypothesis 2 is rejected.
To test the third hypothesis school has no influence on teachers perception of the effect of SBA on
students learning, teachers responses to section D of the questionnaire was scored and sorted into positive
and negatives perception along the schools where the teacher works. The teachers school was then cross-
tabulated with their perception using SPSS to determine the influence. The result is as presented on Table 6

Table 6. Chi-Square showing the influence of School on Teachers Perception of Effect of SBA on
Students Learning

Schools Teachers' Perception of the Effect of
SBA on Students Learning

Positive
Perception Negative Perception
_
2

df

p
Federal Government Colleges 113(62.8%) 67(37.2%)
State Public Schools 81(45.0%) 99(55.0%)
Private School 44(24.4%) 136(75.6%)

53.748

2

< .05

Table 3 showed the proportion of teachers from each school and there corresponding perception of the effect
of SBA on students learning. Out of the 180 sampled teachers from Federal Government Colleges, a total of
113 (62.8%) teachers were of the opinion that SBA has positive effect on students learning. However only
45.0% and 24.4% of the teachers from the state public schools and private schools respectively perceive the
effect of SBA on students learning positively. It thus implies that the school could have influence on teachers
perception of the effect of SBA on students learning. The strength of this influence was determined
bybcarrying out chi-square analysis of the data available. The chi-square value (_
2
= 53.748, df = 2, p < .05)

108
is an indication that the influence of school on teachers perception of effect of SBA on students learning is
significant.

4. Discussion

The introduction of SBA into Nigerian schools is intended to increase the validity and reliability of assessment
and to encourage students to perform to their best. In this study it was found that some of the sampled
teachers irrespective of the school where they perform their professional duties recognized the advantages of
SBA. For example, it is considered that having the students own subject teachers as the assessor in SBA
was beneficial as the teachers knew their students well. They also pointed out that the assessment
conducted in the classroom setting in SBA created a relaxing assessment environment for the students. In
addition, they felt that the multiple assessment opportunities permissible in SBA allowed the students to
demonstrate their actual abilities. These findings suggest that the teachers from the sampled schools showed
some understanding of the rationale for SBA. However, the result of the study also showed that less than half
of the sampled teachers were really prepared for the conduct of SBA in the schools. Such preparedness
include good understanding of the requirements, procedures, marking criteria, moderation system of SBA
and opportunity for professional development on the conduct of SBA. Furthermore, it was revealed that
greater numbers of teachers from Federal Government Colleges were predominantly more prepare to
conduct SBA in their school. However, teachers attitudes towards SBA were found to vary, ranging from
positive to negative. Some teachers were at the very positive end of the continuum, while some were at the
opposite end, i.e. rather negative. Most of the teachers had a mixed feeling of yes-but in relation to SBA, i.e.
they acknowledged the ideas behind SBA and the possible benefits that it could bring to students, but found it
difficult to put the ideas into practice.
It was also revealed by the results of the study that less than fifty percent of the sampled teachers were
of the opinion that the effect of SBA on teachers teaching practices as well as students learning is positive.
This implies that most of the sampled teachers failed to see the effectiveness of SBA on their teaching skills
and students learning. However, more than half of the sampled teachers from Federal Government Colleges
perceive the effectiveness of SBA on their teaching as well as on their students learning positively. Thus, to
a large extent teacher perception of the effect of SBA is influenced by the school. Reason for these was not
looked into in this study, however it might be that teachers in the Federal Government colleges might be
more compel to implement national policies than those in the state public schools and private schools. It
might also be that they have more access to in service training than others.
Since the goal of every school is geared toward achieving Nigeria educational objectives as contained
in the National Policy of Education, it is expected that every teacher irrespective of school where they teach
practice what the national policy says. Therefore it is suggested that there should be thorough monitoring of
policy implementation in all schools. Teachers irrespective of school should have access to in service training
so as to equip the teachers with necessary skills that will prepare them for smooth conduct of SBA in our
schools.

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111

A Study of the Relationship Between Iranian EFL Learners Multiple Intelligences
and their Performance on Writing

Moussa Ahmadian

Assistant Professor, Dept. of English Language and Literature, Faculty of Humanities,
Arak University, Arak, Iran Code post: 38156 PO. Box: 879
Tel: +988613135111 E-mail: M-ahmadian@araku.ac.ir Moussa_ahmadian@yahoo.com.uk

Samaneh Hosseini

MA in TEFL, Department of English Language and Literature, Faculty of Humanities,
Arak University, Arak, Iran
E-mail: hosseinielnaz@yahoo.com

Doi: 10.5901/mjss.2012.03.01.111

Abstract The Multiple Intelligences Theory (MIT), proposed by Gardner (1983), claims that there are at least eight different
human intelligences. This new view of intelligence with emphasis on learner variable has been used in language learning and
teaching settings. The theory stresses that if individual differences are taken into account and classroom activities are
diversified, language learners can better improve their language skills. The present study investigates possible relationship
between L2 learners multiple intelligence (MI) and their writing performance. Thirty three female homogeneous Persian
speaking EFL learners participated in the study. The instruments used were the Multiple Intelligence Developmental Assessment
Scales (MIDAS), an instrument designed by Shearer in 1996, and the participants' average scores on two writing tasks, as an
index of writing products. The correlational analysis of the results revealed a statistically significant relationship between
participants' MI and their performance on writing. Furthermore, the results of regression analysis showed that among all eight
intelligences, linguistic intelligence is the best predictor of writing performance. The findings suggest English teachers to
consider the role of MI in classes and provide more effective activities to help students improve second language writing ability.
Possible implications of the findings for language teaching and teaching writing have been discussed.

Key words: Multiple Intelligence Theory (MIT), writing skills, Multiple Intelligence Developmental Assessment Scales (MIDAS),
English as Foreign Language (EFL), Foreign Language Learners (EFL Learners)

1. Introduction

Since the introduction of the multiple intelligences theory (MIT) in Gardner's book (1983), interest has been
growing internationally in examining the role of multiple intelligences (MI) in learning, achievement, and
knowledge acquisition.
Gardner (1983) suggests the existence of eight relatively autonomous, but interdependent,
intelligences rather than just a single construct of intelligence. He redefines the concept of intelligence as the
ability to solve problems or fashion products that are of consequence in a particular cultural setting or
community (Gardner 1993, p.15).
In Gardner's (1983) point of view, intelligence is a combination of different abilities; he divides human
intelligence into linguistic, logical-mathematical, spatial, musical, bodily-kinesthetic, interpersonal,
intrapersonal and naturalistic intelligences; recently, he has added Existential intelligence to his theory
(Gardner, 1999). Gardner (1993) believes that it is important to identify each individual as a "collection of
aptitudes" (p.27) rather than being identified by a single IQ measure.
Emotional Intelligence is a part of Gardner's (1993) interpersonal intelligence. Goleman (1995, in
Brown, 2007) suggests that emotional intelligence (EQ) is an intelligence in its own right. Goleman also
explains that emotional mind is pretty quicker than rational mind, without the hesitation of thinking what to do.

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Gardner also claims that the list of intelligences may expand and include more intelligences; also, some
intelligences may be rejected and excluded from the list (according to the 8 criteria that Gardner, 1983,
mentions) if they do not meet these criteria (Smith, 2001). Armstrong (2002) suggests a list of proposed
intelligences which includes spirituality, moral sensibility, sexuality, intuition, creativity, olfactory perception
etc; however, these intelligences must meet Gardner's eight criteria to be accepted as different types of
intelligence. However, Gardner (2003) mentions, "I am sticking to my 8 intelligences"(p. 10).
Since its emergence in 1983, Gardners theory of MI has rapidly been incorporated into school curricula
in educational systems across the United States and other countries (Christine, 2003). Many teachers accept
the MI theory and attempt to teach students in the manner that will enhance their dominant intelligence(s).
A lot of writings in the area of second language learning and teaching focus on individual differences of
learners, and the need to develop more student-centered learning programs (Smith 2001, p.48). This
emphasis has been repeatedly confirmed by researchers who have focused on learner-based approaches
and have made a significant contribution to language teaching by increasing our awareness of the need to
take individual learner variations into consideration and to diversify classroom activities.
According to McClaskey (1995), it is possible to teach intelligences. He claims that one way to teach
intelligence is to offer students opportunities to understand their own learning process. Syllabus designers
offer using the MI theory as a paradigm to modify foreign language learning activities and engage all the
intelligences in individuals in order to improve their learning (Price, 2001). Dobbs (2002) asserts that when
children have an opportunity to learn through their strengths, they may become more successful in learning
all subjects including the basic skills; one of these basic language skills is writing.
Based on Furneaux (1999), writing is essentially a social act; "you usually write to communicate with an
audience, which has expectations about the text type (or genre) you produce" (p. 56). Harklau (2002)
declares that "writing should play a more prominent role in classroom-based studies of second language
acquisition" (p. 329). He also argues that not only should students learn to write but also they should write to
learn. According to his idea, nowadays "reading and writing pass from being the object of instruction to a
medium of instruction" (p. 336).
In spite of the growing number of studies investigating the relationship between MI and aspects of
language learning, particularly learning language skills, less research has been reported in the literature to
explore this relation between MI and L2 writing abilities. Thus, this paper aims to investigate possible
relationship between MI and language learners writing performance. The results may highlight the necessity
of taking individual differences into consideration in language classrooms and show how such differences
may lead to variation in learners' writing performance. If it turns out that multiple intelligences have positive
relationship with students' writing ability, there can be a new trend in language teaching, especially teaching
writing, to improve students' writing skill through taking individual differences into account. The study may
thus increase interest in the applications of multiple intelligences to EFL writing courses with a goal toward
self-directing, autonomous learners.

2. The Background

2.1. Historical Overview of Intelligence Studies

The idea of intelligence was first put forward by Sir Francis Galton in 1885, who used statistical tools and
curves to show the relationship between heredity and being genius (Chaplin and Krawiec, 1974). However,
he could not form a standardized intelligence test. It helped other researchers like Alfred Binet to create a
method for distinguishing students with learning difficulties by the request of French Ministry of Education in
1904. After one year, by receiving assistance from Simon (another French psychologist), Binet formed the
first intelligence test in 1905. Although the test had some shortcomings, it was welcomed by educationalist
and gained publicity as the IQ test (See Gardner, 1985).

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During 1920s, E.L.Thorndike proposed a view that the brain is like a muscle which can be more and
more powerful by exercise. He assumed that studying challenging subjects like mathematics and Latin can
empower students' learning ability. He designed a test to measure individuals linguistic and mathematical
abilities that eventually became the foundation of modern intelligence tests.
Charles Spearman, a British educational psychologist, who was influenced by Thorndike's view of
intelligence and inspired by the IQ test designed by Binet and Simon in 1923, formed a new idea about the
general factor of intelligence which became known as the "g" factor. Thus, he designed some tests for
measuring intelligence which were intended to be naturally scientific (Gardner, 1983).
In 1970s, Jean Piaget, with his cognitive model of stages, divided human intelligence into two parts:
operative intelligence which explains how the world is understood, and figurative intelligence which is
responsible for the representation of reality (See Gardner, 1985).
Regarding IQ tests, Sternberg (1982) declared that the validity of these tests varies across examinees.
He states that intelligence is the ability for adapting one's behavior to the environment and situation. The
same researcher, 1985, also proposed a triarchic theory of intelligence: componential ability, experiential
ability, and contextual ability. By the first one he means analytical thinking, by the second one he means
creative thinking, and by the last one he means the ability to manipulate context and situation (Sternberg,
1985).
In 1983, Gardner criticized the traditional IQ tests as incompatible with his multiple Intelligences (MI)
theory. He proposed several intelligences to be at work simultaneously, and, thus, changed the perception
that intelligence is a single construct. Gardner also believed that all of the intelligences could be enhanced
through training and practice.

2.2. Basic Tenants of the MI Theory

Gardner (1983) introduced eight criteria for intelligences in his multiple intelligences (MI) theory; each
intelligence has to satisfy a range of criteria, as follows:
The potential for isolated breakdown of the skill through brain damage;
The existence of savants, prodigies, and other exceptional individuals with this ability;
Support from psychological training studies and from psychometric studies, including correlations across
tests;
Evolutionary plausibility;
A distinct developmental history culminating in a definable set of end state performances;
Having an identifiable core operation or set of operations;
Ability to encode in a symbol system (e.g., language, mathematics, picturing, or musical notes);
Being autonomous and independent. That is, the scores gained from a psychometric test of a particular
intelligence do not correlate with scores obtained from other intelligences. This indicates that intelligences are
independent (See Gardner, 1983).
An additional criterion, sometimes cited, is the existence of roles that foreground the intelligences in
different cultures (Gardner, 1983). Gardner admitted that the criteria were somewhat flexible. Some
intelligence "might have met all criteria, but were discarded because they were not highly valued within
cultures" (cited in Visser et al. 2006, p.488).
According to these criteria, Gardner suggests and identifies eight intelligences in his MI theory; they are:
Linguistic/Verbal Intelligence: Gardner (1983) refers to this ability as the intelligence of words since it is
mainly concerned with written and spoken forms of language use.
Logical/Mathematical Intelligence: This intelligence which is mainly concerned with numbers and science
shapes a main part of the IQ test content. This intelligence involves skill in calculations as well as logical
reasoning and problem-solving.
Musical/ Rhythmic Intelligence: It includes sensitivity to pitch, rhythm, and the emotional aspects of sound

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as related to the functional areas of musical appreciation, singing, and playing an instrument.
Kinesthetic/ Bodily Intelligence: This intelligence highlights the ability to use one's body in different ways for
both expressive (e.g., dance, acting) and goal-directed activities (e.g., athletics, working with one's hands).
Spatial/ Visual Intelligence: It consists of the ability to perceive the visual world accurately and to perform
transformations and modifications upon one's own initial perceptions through mental imagery.
Naturalistic intelligence: According to Gardner (1983), this intelligence enables the person to identify the
natural phenomena, categorize them, and to satisfy his curiosity about the natural phenomena by observing
nature and to reach understanding of the relationships of natural phenomena.
Interpersonal and Intrapersonal Intelligence: The Intrapersonal and Interpersonal intelligences are
presented as separate but related functions of human brain. They are described as two sides of the same
coin, where Intrapersonal intelligence emphasizes self-knowledge and Interpersonal intelligence involves
understanding other people.
In fact, the last two intelligences do not easily give themselves to objective observations and in
declaring them as intelligences. Gardner (1999) equals emotional intelligence with a combination of these
two intelligences.

2.3. MI in Education and Curriculum Achievements

The Multiple Intelligences Theory and its applications to the educational settings are growing so rapidly.
Many educators such as Armstrong (2002) began to use MI-Based Instructions as ways to overcome the
difficulties which they encounter with their students as a result of their individual differences and their learning
styles.
According to Gardner (1993), intelligences can be improved, modified, trained and even changed. In
fact, human ability and intelligences are flexible and can be guided. Armstrong (2002, 2003) explains the
application of MI to the classroom. He accepts the mentioned theory as the theory of education and learning
trend that can support curriculum designers and educators with opportunity to apply it to educational settings.
He also states that the theory can help both learners and teachers.
Gardner (1993) demonstrates that schools can try to prepare the situation in a way that students can
discover their intelligence spectra and use their maximum potential to make a brilliant future. Based on
Armstrong (2002), it is better to create an enjoyable classroom atmosphere in which students like what they
learn and enjoy it. Using the MI Theory in the classroom can thus help teachers create such an encouraging
atmosphere as well. The MI Theory is greatly required so as to deal with different students who have different
minds. It will involve all the students with their different personalities to have more chance for learning and
achieving success in spite of these differences that cannot be considered.
Many teachers and educational curriculum designers have used Gardner's theory in the teaching-
learning processes and used its benefits. For example, McClaskey (1995) continued to use Howard
Gardners ideas on multiple intelligences as models for developing lessons. So, he concludes that it is not
enough that teachers learn to recognize the types of intelligences in their students; rather, we must find ways
to share that knowledge with the students themselves so that they would be able to use their skills in
situations outside our classroom.
In another study by Rosenthal (1998, cited in Christine, 2003), the MI theory was concluded to be one
successful instruction strategy for teachers who struggle to enhance student's self-esteem. Dobbs (2002), in
his study of the relationship between multiple intelligence-based learning environment and academic
achievements, found positive relationship between MI and students' performance level in subjects such as
reading, writing, and mathematics.
To investigate the effects of Gardner's theory on writing, Fahim and Nejad Ansari (2006) investigated
whether the type of feedback that EFL learners receive during the process of writing can have any significant
effect on their short and/or long term writing achievement. The results proved the existence of the effect.

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Marefat (2007) tried to see whether there is any relationship between students MI Profile and their writing
product. The instrument she used was McKenzi (1999)s MI Inventory (p.154). The results turned out that
kinesthetic, existential, and interpersonal intelligences are making the greatest contribution toward predicting
writing scores.
As Swarlis (2008) reports, some researchers have found a statistically significant relationship between
spatial intelligence and academic success in science and mathematics. Akbari and Hosseini (2008)
investigated the possible relationship between learners MI scores and language learning strategies. The
result of the study showed that there is a relatively weak but statistically significant relationship between
learners MI and language learning strategies. According to their findings, there is a significantly positive
correlation between MI and language proficiency as well.
Sharifi (2008) tried to figure out the relationship between MI scores and related school subjects. He
used multi-sided intelligence questionnaire adapted from Douglas and Harms questionnaires. According to
his research, there is significant correlation among different kinds of intelligence and related school subject
scores. Based on Mahdavis (2008) research, the scores gained from learners TOEFL and IELTS listening
proficiency tests, positively correlate with all the eight intelligences. The researcher argues that only linguistic
intelligence makes a statistically significant contribution to performance in both IELTS and TOEFL listening
tests.
Jalilian (2009), pointed to the role of spatial ability in learners performance in cloze tests. He concluded
that a relationship exists between spatial ability and the scores obtained from the administration of two forms
of close tests. Another research project conducted by Hashemi (2009) aimed to see if there is any
relationship between Emotional Intelligence and writing performance at different proficiency levels. He
reported that there is a positive relationship between emotional intelligence and writing performance at
different levels of proficiency. He claims that "those participants whose emotional intelligence scores are
higher, perform better in writing (p. 84).
In order to use Gardner's theory in educational settings, some questionnaires and tools have been
prepared for assessing various types of intelligence which are used in the education process. Among all
these tools, we can refer to the "multiple intelligence tests for children by Nancy Fairs, multiple intelligence
compiled by Mckenzie in 1999, as well as the multiple intelligence questionnaires by Harms and Douglas"
(Sharifi 2008, p.17). Shearer, in 1996, produced a questionnaire to assess MI scores of students. Gardner
(1999) himself also recommends using it in MI studies since it is reliable and valid. This instrument is called
MIDAS (Multiple Intelligences Developmental Assessment Scales), which will be explained below.

2.4. The MIDAS

MIDAS is a self report instrument of intellectual disposition designed by Shearer (1996). This instrument
contains 119 Likert-type (from a to f). The questions cover eight areas of abilities, interests, skills and
activities. There is no right or wrong response, and respondents are asked to read each item and select what
they perceive as the best answer at that point in time in their life. At the time of the present study, the
instrument tapped eight of the nine multiple intelligences; existential intelligence, which is one of the recent
additions to the list, is not a part of MIDAS. It should be mentioned that MIDAS scores are not absolute and it
may change during the individuals' life as s/he grows up. Users are not forced to answer or guess at every
question, as each item has an "I don't know" or "Does not apply" choice; they are to select this answer
whenever it is the best. A number of studies on the reliability and validity of MIDAS (Shearer, 1996, 2006),
have indicated that the MIDAS scales can provide a reasonable estimate of one's MI strengths and limitations
that correspond with external rating and criteria. The MIDAS questionnaire has been completed by
approximately 10,000 people world-wide. Alpha reliability of the profile scores based on the MIDAS turned
out to be as follows: Musical: .70, Kinesthetic: .76, Logical-Mathematical: .73, Spatial: .67, Linguistic: .85,
Interpersonal: .82, Intrapersonal: .78, and Naturalist: .82 (Shearer, 1996).

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2.5. EFL Writing

Writing can be regarded as a fundamental skill in EFL, since it needs thinking, forces students to organize
their ideas, and requires a good command of the knowledge to be written on. Writing has been viewed as a
discovery process, provides opportunities for ongoing learning. It is clear that the act of writing is a way of
structuring, formulating, and reacting to the inner and outside worlds (Marefat, 2007).
Lev Vygotsky in his "Thought and Language" (1962, cited in Eming, 1977) points out that writing and
thinking are interwoven. Writing is a complex process that allows writers to explore thoughts and ideas, and
make them visible and concrete. Chastin (1998) defined writing as an essential communication skill and a
unique advantage in the process of learning a second language.
Richards and Rodgers (2001) contend that accounting for MI is in line with learner-based theories in
education and language teaching and learning. Gardner's theory can have implications for language teaching
and assessment in general, and teaching writing in particular.
Jacobs et al. (1981) developed a profile which is widely used in the literature. The guidelines provided
by these authors clearly encourage the evaluation and assessment based on communicative writing. In
Jacobs et al., there are five criteria to score writing: content, organization, language use, vocabulary, and
mechanics. These five aspects have different scores: content has the highest score (20), and the lowest
score goes with mechanics (10) and each of the other three have the same score (15) that totally make 75. In
our study, the assessment is based on Jacobs et al.s criteria. Based on the literature reviewed above, it
becomes clear that although studies on the MI theory in language education have increasingly developed
over the previous two decades, less has been done relating to the applications of the theory to L2 writing.
Thus, this study aims to shed some light on this point.

3. The Study

3.1. Research Questions

This study seeks to find answers to the following questions:

1. Is there any relationship between EFL learners' writing performance and their performance on
multiple intelligences?
2. Do all intelligences show equal relationship with L2 learners writing ability?

3.2. Research Hypotheses

In order to answer the research questions in a systematic manner, two null hypotheses were made to be
tested out. They are as follows:

Ho1: There is no significant relationship between EFL learners' writing performance and their multiple
intelligences.
Ho2: There is no equal relationship between EFL learners writing performance and each type of intelligence.

3.3. Participants and Instrumentations

A total of 33 female Iranian EFL learners, majoring English translation at Elmi Karbordi Institute (Ghotb
Ravandi Branch, Tehran, Iran), were selected from a pool of 40 ones and asked to participate in the study.
They aged 21-29 years (average, 24.5, SD=2.27); all were Persian L1 speakers.
To increase the possibility of selecting a more homogeneous group of learners and also for lowering the

117
relative time spent on identifying them, the early sample was limited to students of the sixth term. However, a
1997 version of Michigan Test of English Language Proficiency (MTELP) was additionally applied to help
determine the homogeneous sample group needed for the project.
Two different sets of tests for measuring the involving variables and revealing the existing relationships
between the related variables were selected: the Michigan Test and MIDAS (1996 version). The subjects
were asked to mark their desired options on answer sheets. The answer sheets were later sent via the
internet to Shearer for scoring (See appendix 1 for a sample of MIDAS).
The writing ability of the students was determined by taking the average of their scores of two writing
tasks. Participants were supposed to produce two free writings on two topics chosen from IELTS practice
tests. Scoring was based on the profile developed by Jacobs et al. (1981); the guidelines they provided
clearly encourage communicative writing. Then the participants' performances were assessed by two
different raters, who were EFL university teachers. Also, each rater scored each writing task twice with a
three-four days interval without referring to the previous scores. The average scores of the two writings and
the average scores of the two raters were used for final analysis.

3.4. Data Collection and Analysis

As mentioned above, the participants homogeneity was measured through the Michigan test of language
proficiency. Accordingly, participants with one standard deviation above and below the mean were grouped
together as a more homogeneous group (See appendix 2 for detailed descriptive statistics related to this
test). After a week interval, the MIDAS questionnaire was administered and MI answer sheets were sent to
the author of MIDAS for scoring (See appendix 3 for detailed descriptive statistics related to this
questionnaire). Then the participants' scores on MI were obtained in the form of numeric values ranging from
0 to 100 (as defined by Shearer himself) for each intelligence.
One week later, participants were asked to write the first composition (around 200 words). Then, after a
two-week interval, the second topic was given to them to do. Since the raters were asked to score each
writing, each student had four scores; the average score was calculated for each participant as the score
showing her writing performance (See appendix 4 for descriptive statistics related to writing index).
For sure, Pearson correlation was computed to find the inter-rater reliability of the two raters. The r-
value of .86 indicates a high correlation between the two raters scores (See appendix 5). Also, to determine
if the means of the two groups were significantly different, T-Test was used; the results (See appendix 6)
showed that the difference between the scores given by two scorers were not significantly high. So, based on
this and the significant inter-rater reliability of two raters scorings, no need was felt for more raters.
The data for this study were analyzed through the Statistical Package for Social Sciences (SPSS V.16).
First, using Pearson-Product Moment Correlation Formula, the correlation between the overall MI scores and
writing scores were calculated so as to specify the extent to which they correlated. Similarly, the same
procedure was applied to calculate the correlation between each intelligence scores and writing scores. Then
the comparison was made between the ways the scores in MI test correlated with the scores in writing
performance. In order to see which intelligence is a better predictor of the main (dependent) variable of our
study, multiple regression analysis was used too.

4. Results and Discussion

Major statistical analyses centered on the investigation of correlation between the main variables of the
study, that is, Multiple Intelligences and writing performances. The results presented in Table 1 demonstrate
the existence of statistically significant correlation between the participants' two sets of scores on MI and
writing. This can reject the first research hypothesis.


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Table 1. Correlation between MI and writing

writing Overall MI
w Pearson Correlation
1 .300
Sig. (2-tailed)
.090
N 33 33

This finding is what was expected to be observed due to the fact that many aspects of MI correspond to
certain aspects of language use. For example, based on Akbari and Hosseini (2008), MI and language
learning strategies positively correlate. The weakness of the correlation, however, means that these two
variables are different. This result (table 1) also supports Fahim and Nejad Ansari (2006), Marefat (2007) and
Dobbs (2002) in that, overall MI scores correlate positively with students' writing scores.
In order to answer the second research question, the correlation coefficient between the participants' scores
on each intelligence and their writing scores were calculated using Pearson formula (Table 2). The results
indicated that among all the intelligences, spatial intelligence negatively correlates with writing scores; also, it
showed that mathematical intelligence does not show any correlation with writing scores. All the other
intelligences have weak but positive correlation with writing scores; however, only linguistic intelligence and
interpersonal intelligence make a statistically significant correlation with participants' performance on writing.
Also, the correlation coefficient of linguistic intelligence and writing scores is 0.39 and the correlation between
interpersonal intelligence and writing is 0.36 (p<0.01) (See table 2). This finding can confirm the second
research hypothesis.

Table 2. Correlation between each intelligence and writing score

ling math spat musi inte intr kine natu w
ling Pearson
Correlation
1 .124 .336 .121 .713(**) .498(**) .093 .287 .392(*)
Sig.
(2-tailed)
.491 .056 .502 .000 .003 .607 .105 .024
N 33 33 33 33 33 33 33 33 33
math Pearson
Correlation
.124 1 .489(**) -.029 .346(*) .611(**) .261 .289 .003
Sig.
(2-tailed)
.491 .004 .873 .048 .000 .142 .103 .988
N
33 33 33 33 33 33 33 33 33
spat Pearson
Correlation
.336 .489(**) 1 .165 .520(**) .752(**) .470(**) .471(**) -.022
Sig.
(2-tailed)
.056 .004 .357 .002 .000 .006 .006 .904
N
33 33 33 33 33 33 33 33 33
musi Pearson
Correlation
.121 -.029 .165 1 -.026 .120 .393(*) .356(*) .103
Sig.
(2-tailed)
.502 .873 .357 .884 .506 .024 .042 .569
N
33 33 33 33 33 33 33 33 33

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inte Pearson
Correlation
.713(**) .346(*) .520(**) -.026 1 .696(**) .127 .180 .362(*)
Sig.
(2-tailed)
.000 .048 .002 .884 .000 .483 .317 .038
N
33 33 33 33 33 33 33 33 33
intr Pearson
Correlation
.498(**) .611(**) .752(**) .120 .696(**) 1 .354(*) .303 .124
Sig.
(2-tailed)
.003 .000 .000 .506 .000 .043 .086 .490
N
33 33 33 33 33 33 33 33 33
kine Pearson
Correlation
.093 .261 .470(**) .393(*) .127 .354(*) 1 .486(**) .283
Sig.
(2-tailed)
.607 .142 .006 .024 .483 .043 .004 .111
N
33 33 33 33 33 33 33 33 33
natu Pearson
Correlation
.287 .289 .471(**) .356(*) .180 .303 .486(**) 1 .286
Sig.
(2-tailed)
.105 .103 .006 .042 .317 .086 .004 .107
N
33 33 33 33 33 33 33 33 33
w Pearson
Correlation
.392(*) .003 -.022 .103 .362(*) .124 .283 .286 1
Sig.
(2-tailed)
.024 .988 .904 .569 .038 .490 .111 .107
N 33 33 33 33 33 33 33 33 33

** Correlation is significant at the 0.01 level (2-tailed).
* Correlation is significant at the 0.05 level (2-tailed).
Ling= Linguistics, math=mathematical, spat=spatial, musi= musical, inte=interpersonal, intr=intrapersonal,
kine=kinesthetic, natu=naturalistic, w=writing

Currie 2003 (cited in Marefat, 2007) reports, the students mean score on interpersonal intelligence is higher
than intrapersonal intelligence in reading classes; this seems to be true also for writing classes. Both
linguistic and interpersonal intelligences positively correlate with writing performance; they both directly
(linguistic) and indirectly (interpersonal) are language related. Thus, the findings indicate that interpersonal
intelligence is one of the predictors of L2 learners writing ability
Gardner (1983) mentions his so called different sections of multiple intelligences are not totally
independent of one another and some of them are really close in nature. So, a careful examination of the
obtained correlations revealed that these eight intelligences correlate with each other. As it is shown,
linguistic intelligence highly correlates with interpersonal and intrapersonal intelligences. As showed and
discussed in literature review, MIDAS divides linguistic knowledge into two parts: one is formal which goes
under linguistic intelligence and the other is informal or communicative which goes under inter- and
intrapersonal categories of intelligence. Interpersonal and intrapersonal intelligences also correlate highly
with each other and it may be the result of relatively similar nature of these two intelligences.
It was mentioned earlier that linguistic and interpersonal intelligences have meaningful correlation with
writing ability; however, there is a high correlation between interpersonal and linguistic intelligence as well.
So, the researchers went beyond correlation analysis and used multiple regressions to see which intelligence
is a better predictor of learners writing abilities. The results shown in Tables 3 and 4 indicate that from
among all eight intelligences, only linguistic intelligence remains as the best predictor of writing performance,

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since its significance is .024 which is less than .05 (so it makes significant contribution). It can be concluded
that 12% (F=5.6, p<0.05) of variance of writing scores can be explained by linguistic intelligence score, and
(1-0.15=0.85) 85 percent of writing variance can be explained and is due to the other factors.

Table 3. Model summary of stepwise multiple Regression

Model R R Square
Adjusted R
Square
Std. Error of the
Estimate
1
.392(a) .154 .127 8.15674

a Predictors: (Constant), linguistic

Table 4. Summary of coefficients for the stepwise multiple regression

Unstandardized Coefficients
Standardized
Coefficients
Model
B Std. Error Beta
t

Sig.

1 (Constant)
40.922 7.905 5.177 .000
linguistic
.330 .139 .392 2.375 .024

Linguistic intelligence has been expected to positively predict writing, since it is directly language related.
This finding is hardly surprising since among different types of intelligences measured by MI, the linguistic
one seems to be the most appropriate for acting as the predictor of language production, especially writing.
Gardner (1983) refers to linguistic intelligence as a kind of ability to use words, both written and spoken, as it
follows the rules of grammar (p.77). Mahdavi (2008) also came to a similar conclusion that among all eight
intelligences linguistic intelligence is a predictor of TOEFL and IELTS listening scores and English language
proficiency as well.
To explain the relationship between linguistic intelligence and second language learning, in general, and
second language writing in particular, one can say that as soon as one accepts the existence of such a
construct as linguistic intelligence, it will be a natural assumption that such intelligence has a direct
relationship with verbal and linguistic abilities. Based on Richards and Rodgers, (2001: 117) "language
learning and use are obviously closely linked to what MI theorists label Linguistic Intelligence". Other
researchers also found positive correlation between students' writing performance and some intelligences.
For example, in Hashemi (2009), emotional intelligence proved positive and significant correlation with writing
performance, and Saricaoglu et al. (2009) observed a kind of relationship between musical intelligence and
writing.

5. Conclusions, Implications and Suggestion

The present study intended to investigate whether there is any relationship between foreign language
learners' writing performance and the construct of MI. The findings indicate that such a relationship does
exist, and MI and L2 writing are related, but from among the eight intelligences only linguistic and
interpersonal intelligences have more statistically significant relationships with the writing performance. The
results of stepwise regression analysis also revealed that linguistic intelligence can influence writing
performance.
The results also provide quantitative evidence in support of the idea that students with a high level of

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linguistic intelligence have high-developed writing skill. Teachers can provide English language learners of
lower levels of linguistic intelligence with further assistance and support and motivate them to perform more
linguistic tasks so that they can better improve their writing skills. In fact, on the one hand, the findings of this
study can contribute to the existing body of literature on the MI theory and writing, and on the other, can
emphasize the necessity of taking MI, as a psychological construct, into account in educational programs,
particularly in EFL domain.
Identifying learners' level of MI can provide educators with the opportunity for predicting activities
appropriate for both learners with higher level of some intelligences and those who are weaker. For this to
happen, teachers need to realize that different learners with different levels and combinations of the eight
intelligences are different in learning. Also, students awareness of the MI profile may help both themselves
and teachers.
Moreover, the positive relationship between writing in English as a foreign language and linguistic
intelligence provides support for the remarks made earlier by Richards and Rodgers (2001). Armstrong
(2002, p.51) suggests some teaching strategies for the applications of each of the eight intelligences to the
classroom. He mentions that linguistic intelligence is the easiest intelligence to develop strategies for. Then
the author mentions five strategies to be used in the classroom to improve learners linguistic intelligence:
storytelling, tape recording, brainstorming, journal writing, and publishing.
Competencies related to linguistic intelligence are likely to contribute to writing and aspects of language
learning while language teaching seems to be advantageous. So, there might be the possibility for the
existence of a degree of overlap between abilities related to linguistic intelligence and writing performance of
English language learners. The MI theory provides a mechanism for developing multiple intelligences through
new pedagogical approaches. This theory also reinforces current movements in higher education such as
university students' learning process, academic affairs collaboration and the relationship between affective
and cognitive learning outcomes (Kezar, 2001). However, more studies will provide more evidence for
generalization.
This research was conducted by female participants; hence, replication of the research is suggested
with male participants or a comparison between male and female MI indices. Other studies can examine the
relationship between MI and other language skills, learning strategies, needs analysis, etc. In addition, we
hope that the present study is to be continued with a larger number of samples and other learners from
different first language backgrounds to find out if similar results can be obtained. In this study, participants
were intermediate level of English language learners and therefore the results might not be generalizable to
the learners who belong to other levels of language proficiency. So, similar studies can be carried out with
students of different levels of language proficiency like, beginners or advanced.

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Appendices

Appendix 1: Samples of the MIDAS Questionnaire (1996)

Adult - musical

1. As a child, did you have a strong liking for music or music classes?
A little Sometimes Usually
Often All the time I don't know

2. Did you ever learn to play an instrument?
No A little Fair
Good Excellent I don't know

123
3. Can you sing 'in tune'?
A little bit Fair Well
Very well Excellent I don't know

4. Do you have a good voice for singing with other people in harmony?
A little bit Fair Good
Very good Excellent I don't know

Appendix 2: The Michigan Test Scores and Analysis

Table 2.1. Reliability of the Michigan test

N of
items
Cronbach's
Alpha
100 .82

Table 2.2. Accepted participants' score on the Michigan test

N Minimum Maximum Mean Std. Deviation
Michigan
33 44.00 60.00 51.3030 5.64848
Valid N (listwise)
33

Table 2.3. Frequency of participants scores on the Michigan test

Frequency Valid Percent
Valid 44.00
45.00
46.00
47.00
49.00
4
4
1
2
5
12.2
12.2
3.0
6.1
15.2
50.00
51.00
52.00
53.00
54.00
1
1
2
1
1
3.0
3.0
6.1
3.0
3.0
56.00
57.00
58.00
59.00
60.00
Total
2
3
2
1
3
33
6.1
9.0
6.1
3.0
9.0
100.0


124
Table 2.4. Test of normality on the Michigan scores

Kolmogorov-Smirnov(a) Shapiro-Wilk
Statistic df Sig. Statistic df Sig.
Michigan .143 33 .084 .902 33 .006
a. Lilliefors Significance Correction

Appendix 3: The MIDAS Questionnaire Scores and Analysis

Table 3.1. Descriptive statistics of participants' scores on MIDAS

intelligences N Minimum Maximum Mean Std. Deviation
linguistic
33 36.00 75.00 56.00 10.38
mathematical
33 30.00 76.00 51.30 10.29
spatial
33 20.00 78.00 47.78 15.17
musical
33 .00 65.00 36.12 13.55
interpersonal
33 34.00 89.00 59.45 12.78
intrapersonal
33 31.00 74.00 53.06 10.22
kinesthetic
33 .00 83.00 42.87 17.77
natural
33 9.00 77.00 43.48 17.36
Valid N (listwise)
33

Table 3.2. Test of normality on the MIDAS scores
MIDAS .104 33 .073 .972 33 .541

Appendix 4: The Writing Scores and Analysis

Table 4.1. Frequency of participants' scores on writing

Subjects' Score Frequency Valid Percent
Valid 38.00
43.00
49.00
50.00
51.00
53.00
54.00
55.00
2
1
1
1
1
2
1
1
6.06
3.03
3.03
3.03
3.03
6.06
3.03
3.03

125
57.00
59.00
60.00
61.00
62.00
63.00
2
1
2
1
1
1
6.06
3.03
6.06
3.03
3.03
3.03
64.00
65.00
66.00
67.00
68.00
69.00
70.00
71.00
Total
3
4
2
1
2
1
1
1
33
9.09
12.12
6.06
3.03
6.06
3.03
3.03
3.03
100.0

Table 4.2. Descriptive statistics of participants' scores on the writing

N Minimum Maximum Mean Std. Deviation
Writing
33 38.00 71.00 59.393 8.732
Valid N (listwise)
33

Table 4. 3. Test of normality on writing scores
Writing .156 33 .071 .906 33 .008

Appendix 5: The Inter-rater Reliability

Table 5. Inter-rater Reliability Coefficient

Wa Wb
w1 Pearson Correlation
1 .868(**)
Sig. (2-tailed)
.000
N
66 66
w2 Pearson Correlation
.868(**) 1
Sig. (2-tailed)
.000
N
66 66
** Correlation is significant at the 0.01 level (2-tailed).
w1= writing task 1; w2= writing task 2


126
Appendix 6: T-Test

Table 6. T-Test results of two raters' scores

Test Value = 0
95% Confidence Interval of
the Difference
t df Sig. (2-tailed)
Mean
Difference Lower Upper
wa
39.086 33 .001 60.31818 57.1747 63.4616
wb
38.111 33 .001 58.16667 55.0578 61.2755


127

The Romantic Critical Thinking:
Theoretical Incoherence of a Unitary Movement

Petru Golban

Namk Kemal University
Email: pgolban@nku.edu.tr

Doi: 10.5901/mjss.2012.03.01.127

Abstract The rise of the expressive theory of authorship in the literary movement that we call Romanticism radicalised the ideas
that the artist is a genius and the work of art is autonomous from the actual reality as it results from an imaginary universe which
is specific to a certain artist. Romantic emphasis on subjective experience and the disinterestedness of the creative act was also
an aspect of its rejection of the principles of Enlightenment and Neoclassicism. Moreover, although time and place specific and
emerging in connection to French Revolution and Industrial Revolution, the exponents of Romanticism were escapist rather than
rebellious as to attempt the improvement of the social conditions. These are some of the reasons that have made critics regard
Romanticism as an artistic not social movement and be reluctant to speak about a Romantic ideology in Marxist terms
concerning the socio-historical position of literature, especially when referring to the great Romantic literary criticism expressed
in Wordsworths Preface to Lyrical Ballads, Coleridges Biographia Literaria, and Shelleys Defence of Poetry. These texts
represent the main concern of the present study, in relation to which the aim of the study is twofold: first, to discern among the
ideas and principles regarding the origin of poetry, its subject-matter and language, the role of the poet, and poetic imagination,
and, second, to present the ways in which these ideas are materialised or not in literary practice, namely in Wordsworths Tintern
Abbey and Shelleys To a Skylark.

Keywords: Romanticism, literary theory and criticism, creative writing.

1. Introduction

In its long developmental process before the twentieth century, the most spectacular if not important changes
in literary theory occurred during the Romantc period. Romanticism as a movement consisting of both
innovative literary theory and experimentation in literary practice broke at the end of the eighteenth century
the linearity of the aesthetic attitude in the Western world dominated for centuries by the revived since
Renaissance ancient tradition, rules of the classics, the ides of mimesis, catharsis and utile et dulce. Since
then, the critical tradition which is focused on both Romantic literary criticism and literary practice has
continuously raised debates on, among other things, the social implications of the Romantic writing and the
unity of Romanticism as creative experience and literary doctrine.
Coexisting with different reactionary political attitudes, the rise of nationalism, a political revolution in
France acclaimed by the Romantics, except the German ones, as providing the freedom of individual and
abolition of authority and an industrial one in Britain rejected as a way to human regimentation it has
been a fruitful approach in recent criticism to speak about the politics or ideology of Romantic literature, to
regard it as a social movement, to view the Romantic Hero as a political rebel, so as to set Romanticism in
the context of contemporary exchanges about them and examining such exchanges for what their figures of
speech, and sexual allusions, as well as political allusions, may reveal about how the literary work in question
accords or conflicts with established discourses and interests (Chase, 1993, p. 31). M. H. Abrams is more
drastic and considers that the Romantic writers are to be viewed as political and social poets, that to a
degree without parallel, even among major Victorian poets, these writers [Romantics] were obsessed with the
realities of their era, and that it is a peculiar injustice that Romanticism is often described as a mode of
escapism, an evasion of the shocking changes, violence, and ugliness attending the emergence of the
modern industrial and political world (Abrams, 1970, p. 101).
However, there is also a strong reluctance to speak about a Romantic ideology in Marxist terms

128
concerning the socio-historical position of literature. For such critics Romanticism is first of all a cultural
revolution and a unified movement, a strong literary tradition which gave birth within its system to a number of
literary concerns themselves established as traditions because of the recurrence of certain thematic
perspectives in the Romantic writings. Among them, dualism of existence, escapism and rebelliousness, the
revival of the national culture, new feelings for nature, the emphasis on imagination and inspiration, the return
to the experience of childhood, and especially the exploration of the complex range of emotional and
psychological issues as to render the individuality as the most important aspect of human personality. In this
respect comes to the mind the famous Rene Welleks definition of the Romantic poets as authors who see
the implication of imagination, symbol, myth and organic nature, and see it as a part of the great endeavour
to overcome the split between subject and object, the self and the world, the conscious and the unconscious
(Wellek, 1963, p. 220), which is the central creed of all the major Romantic writers.
It is then perhaps more proper to understand Romanticism aesthetically, as a theory about the nature
and origin of art (Butler, 1981, p. 8) and to identify literature with philosophy [which] appears in Romanticism
not only in the emergence of German Romanticism in response to Kant, and in the Jena Romantics
conception of literature as containing its own criticism. It has been for Romantics and their readers a way of
describing a kind of truth value or truth effect of poetry. (Chase, 1993, p. 15)
Concerning the second issue about the unity of Romanticism, and influenced by Arthur Oncken
Lovejoys Essays in the History of Ideas (1948), there are many critics who view Romanticism not as a
coherent movement or period in Western literature, thought and culture it was too contradictory, with too
many forms and tensions, to be known by one name (Bahti, 2001, p. 32).
It may be true, but in relation to literary practice rather than to literary criticism. In Romanticism, more
than in other periods and movements, the critics created an extraordinary unity of concerns, mainly centred
on poetry and most of which related to the issue of author. Wordsworths Preface to Lyrical Ballads,
Coleridges Biographia Literaria, Shelleys A Defence of Poetry, among others, although different and often
contradictory in conceptions and argumentation, focus on imagination, intuition, sensibility and emotions of
the poet, his status and role, as well as on origin, language, and purpose of poetry, and on the organicity of
the work of literature, and on a number of dichotomies such as dream and reality, good and evil, childhood
and maturity, and on other concepts of the Romantic critical theory. Among the unifying principles stands the
reaction against the neoclassicism of Boileau, Pope, and others. The tone was given again by Ren Wellek:
we must recognize that we can speak of a general European Romantic movement only if we take a wide
over-all view and consider simply the general rejection of the neoclassical creed as a common denominator
(Wellek, 1955, p. 2).
Speaking solely about literary criticism, undoubtedly the Romantics achieved the quantitative and first
of all qualitative advancement of critical theory in Britain towards its contemporary standing. First, with
Romanticism, the ancient connection between poetry and rhetoric is finally broken with the result that poetry
is now a mainly personal experience (Day, 2008, p. 225). Before Romantic period, literature was critically
and theoretically conceived as true to nature, as having a public role, as a promoter of values, a cultivator of
taste, but now it has become a private matter. The task of criticism has diversified to cover the endeavour to
connect this private aspect with the public arena, to give the private experience a public resonance when the
relation between them is in crisis (Day, 2008, p. 226). It is this cultural reality and the fact that Romanticism
on the whole was a new type of literature that in Romanticism the idea of criticism received a status of special
importance, first by German contribution, closely followed by British poet-critics, especially Coleridge. The
Romantic writer-critics marked the transition from deduction to induction, which is from a normative and
prescriptive aesthetics to the study of poetics, of the concrete laws and norms which the poet himself lays in
front of him (Urnov, 1979, p. 5). The result is a great number of theoretical assumptions about literature, of
which some have current applicability and effectiveness, among which the idea of organic form and the
inseparability of form and content, and the conception of good poetry as the fusion between thought and
feeling (Chase, 1993, p. 1).

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2. The Unity of Concern and the Disunity of Approach in Wordsworth, Coleridge, and Shelley

In Europe the eighteenth century was the period of Enlightenment and classical authority, and one of the
most important unifying principles in Romanticism is the reaction against classical and neoclassical views.
The reaction manifested in philosophy or critical thinking and in artistic practice, many of the great Romantics
being artist-critics or writer-critics.
Romanticism had its origins in Germany and soon became a wide-ranging European movement that
manifested in most countries, including Britain, whereas French Romanticism emerged late, since in France
the influence of classicism lasted longer than in the rest of Europe. In Germany, the major source of the most
important Romantic conceptions, the new philosophy and literary theory were produced by poets like Goethe
and Schiller, by journal-critics like Friedrich and August Wilhelm Schlegel (especially in their journal, the
Athenaeum), and by academic philosophers like Kant, Schelling, Schopenhauer and Hegel. The last group
was especially significant, in that the advent of German idealist philosophy impacted very directly upon
Romantic literary theory (Harland, 1999, p. 61).
In Britain, the major exponents of Romantic criticism are William Wordsworth with his Preface to the
second edition of Lyrical Ballads (1800), Samuel Taylor Coleridge with Biographia Literaria (1817), and Percy
Bysshe Shelley with A Defence of Poetry (1821). These writers are also the main representatives of English
Romantic literary practice, together with William Blake, George Gordon, Lord Byron, and John Keats.
Like in the rest of Europe, in Britain, apart from being a reaction against classical and neoclassical
principles, the Romantic critical theory was yet a continuation of some classical views, as well as an attempt
at critical and theoretical originality. And the term Romantic ideology, first coined and used by Jerome
McGann in The Romantic Ideology: a Critical Investigation (1983), may be then applied to refer, as McGann
does, to the Romantic literary theory and criticism containing a wide range of concerns, among which of
primary importance stands the creative personality of the artist, and where the scholarship and criticism of
Romanticism and its works are dominated by a Romantic Ideology, by an uncritical absorption in
Romanticisms own self-representations (McGann, 1983, p. 1).
Romanticism means individualism and the literary practice focuses on the individual experience
(emotional and psychological) and literary theory on the poet. In his celebrated book The Mirror and the
Lamp: Romantic Theory and the Critical Tradition (1953), M. H. Abrams shows that the Romantic period adds
to the two existing since Antiquity critical theories on art the mimetic and the pragmatic ones a third one
which is the expressive theory of authorship. The major critical concern is now the poet in that the producer
of art has moved to the centre of critical attention, the true function of art being the communication and
expression of the artist. In Romanticism, art becomes subjective rather than objective, and intuitive rather
than rationally planned, which is remarkably shown by Abrams when he considers that for Romantics the
work of art resembles a lamp, which throws out images originating not in the world but in the poet, whereas
for the classicists it resembles a mirror, which is passively mimetic or reproductive of existing reality (Butler,
1981, p. 7). The emphasis is placed on human individuality and personality, on psychology, emotional states,
inner world, and intimacy. The intimacy is the consciousness of the Romantic period which became
accustomed to the inner antagonism, simultaneous contrast of values, as well as to recurrence and
redundancy (Durand, 1998, p. 220).
The emphasis on author in Romanticism gave rise to new manners of writing, such as the confession,
which, as the revelation of an authentic authorial voice, identity, or experience, becomes one of the
dominant models of literary production (Bennett, 2006, p. 50). Concerning the audience of the Romantic
authors, to whom they address their confession, it is human society, as for Shelley, or humanity in general,
as for Friedrich Schlegel, who declares in his Critical Fragments (1797) that every honest author writes for
nobody or everybody and that the author who writes only for a particular group does not deserve to be read.
In this respect, regarding the role of the critic, the Romantic literary theory changes the perspective from the
concern with the audience and the effects of literature on its receiver to the concern with the author and his

130
relation to the creative act. According to the Romantic theory, the literary work is autonomous and contains a
hidden reality, the task of criticism being to reveal this reality. The relationship between the poet and text
came thus to replace the relationship of the text to reader, and the critic was required to live in the spirit of the
author, to become his servant and friend, to better disclose the literary values. This Romantic critical
perspective of tracing the literary work back to its origins in the experience of the poet, as a part of the
expressive theory of authorship, influenced much of the nineteenth century criticism and theory on poetry, as,
for instance, the method of the French theorist Charles Augustin Sainte-Beuve, which is the biographical
approach involving discussion of both the work and life of the author.
The Romantic poets confer, thus, major significations to individual consciousness, and in doing so they
lay emphasis on imagination, considering it to be the noblest of human faculties. The Romantic writers and
philosophers create a remarkable complexity of the conceptions about the author and poetic imagination,
including them into a larger domain of debates on the subject-matter of poetry, language of poetry, origin and
purpose of poetry, and act of artistic creation in general, as well as on nature and human spirit, reality and
intuition, myth and religion, symbol and metaphor.
For Wordsworth, the subject-matter of poetry is a complex endeavour, consisting of incidents and
situations from common life, ordinary things, humble and rustic life, the essential passions of the heart,
our elementary feelings, the manners of rural life, rural occupations, passions of men, the beautiful and
permanent forms of nature. When he brings into discussion the language to be used in poetry, Wordsworth
is likewise multifaceted in his discourse, speaking about a selection of language really used by men, a
plainer and more emphatic language, feelings and notions in simple and unelaborated expressions, a more
permanent, and a far more philosophical language, a figure of speech occasionally prompted by passion,
the language of a large portion of every good poem, (...) except with reference to the metre, in no respect
differ from that of good prose, but likewise (...) the best poems will be found to be strictly the language of
prose when prose is well written. About imagination, it is necessary to throw over them [aspects of rural life]
a certain colouring of imagination, whereby ordinary things should be presented to the mind in an unusual
aspect. The purpose of poetry, according to Wordsworth, is that the understanding of the Reader must
necessarily be in some degree enlightened, and his affections strengthened and purified; whatever passions
he [poet] communicates to his Reader, those passions () should always be accompanied with an
overbalance of pleasure. Finally, when defining and speaking about the origin of poetry, for Wordsworth
poetry is the spontaneous overflow of powerful feelings: it takes its origin from emotion recollected in
tranquillity.
Unlike for Wordsworth, for Coleridge the subject-matter of poetry represents the incidents and agents
[that] were to be, in part at least, supernatural, persons and characters supernatural, or at least Romantic;
yet so as to transfer from our inward nature a human interest and a semblance of truth sufficient to procure
for these shadows of imagination that willing suspension of disbelief for the moment, which constitutes poetic
faith. Concerning the language of poetry, Coleridge points to an artificial arrangement (...) by metre, or by
rhyme, or by both conjointly, where a particular pleasure is found in anticipating the recurrence of sounds
and quantities. About imagination: It dissolves, diffuses, dissipates, in order to recreate: or where this
process is rendered impossible, yet still at all events it struggles to idealize and to unify. It is essentially vital,
even as all objects (as objects) are essentially fixed and dead; a tone and spirit of unity, that blends, and (...)
fuses, each [part] into each, magical power (...), first put in action by the will and understanding, and
retained under their irremissive, though gentle and unnoticed, control, (...) reveals itself in the balance or
reconcilement of opposite or discordant qualities: of sameness, with difference; of the general with the
concrete; the idea with the image; the individual with the representative (...). Here emerges Coleridges
theory of Secondary or Poetic Imagination as opposite to Primary Imagination and Fancy. The purpose of
poetry, claims Coleridge, is solely pleasure, not truth (...) from the whole, as is compatible with a distinct
gratification from each component part. Consequently, the definition of poetry is that a poem is that species
of composition, which is opposed to works of science, by proposing for its immediate object pleasure, not

131
truth; and from all other species (having this object in common with it) it is discriminated by proposing to
itself such delight from the whole, as is compatible with a distinct gratification from each component part.
Apart from his theory of imagination, Coleridge is acclaimed for the organic model applied to literary form
which he borrows from August Wilhelm Schlegel and according to which the literary image, the literary work,
and the whole literary activity of a writer are organic, subjects to organic rules, being born and growing like
living organisms, particularly vegetation.
A total different consideration on the subject-matter of poetry comes from Shelley, for whom it is life
expressed in its eternal truth, representing the unchangeable forms of human nature, as existing in the mind
of the Creator; [poetry] is universal, and contains within itself the germ of a relation to whatever motives or
actions have place in the possible varieties of human nature. Language of poetry is also an important
concern: language, colour, form, and religious and civil habits of action, are all the instruments and materials
of poetry; poetry in a more restricted sense expresses those arrangements of language, and especially
metrical language, which are created by that imperial faculty, whose throne is curtained within the invisible
nature of man; language is arbitrarily produced by the imagination, and has relation to thoughts alone; the
regular mode of the recurrence of harmony in the language of poetical minds, together with its relation to
music, produced metre, or a certain system of traditional forms of harmony and language. Yet it is by no
means essential that a poet should accommodate his language to this traditional form, so that the harmony,
which is its spirit, be observed. () every great poet must inevitably innovate upon the example of his
predecessors in the exact structure of his peculiar versification. For Shelley, imagination is at work when
mind acting upon those thoughts so as to colour them with its own light, and composing from them, as from
elements, other thoughts, each containing within itself the principle of its own integrity, and the great
instrument of moral good is the imagination. Like other Romantics, Shelley pays special attention to the
purpose of poetry: poetry is ever accompanied with pleasure: all spirits on which it falls open themselves to
receive the wisdom which is mingled with its delight; auditors (...) are moved and softened; poetry acts to
produce the moral improvement of man; poetry acts in (...) diviner manner. It awakens and enlarges the
mind itself by rendering it the receptacle of a thousand unapprehended combinations of thought; poetry lifts
the veil from the hidden beauty of the world, and makes familiar objects be as if they were not familiar; it
reproduces all that it represents; poetry strengthens the faculty which is the organ of the moral nature of
man. In defining poetry, Shelley considers a poem to be the expression of the imagination, and that a poem
is the very image of life expressed in its eternal truth; a poem (...) is the creation of actions according to the
unchangeable forms of human nature, as existing in the mind of the Creator, which is itself the image of all
other minds; poetry is a mirror which makes beautiful that which is distorted.
Although the three critical texts Wordsworths Preface to Lyrical Ballads, Samuel Taylor Coleridges
Biographia Literaria, and Percy Bysshe Shelleys A Defence of Poetry belong to the representatives of one
literary movement, they reveal differences in both content and form.
On the thematic level, the texts share common concerns such as the subject matter of poetry, the
language of poetry, the purpose of poetry, and others of which the status of the poet is the new and the
most discussed topic, especially the concern with the poets imagination. However, the perspectives of
approach to these concerns are different: the poet, for example, is discussed by Wordsworth on the premises
of his emotional experience; Coleridges perspective is philosophical as well as psychological; and Shelley
discusses the poet from a neoclassical perspective, which is in universal terms and with strong moral
considerations.
Also, the critics differ in matters of originality of their ideas, in the different degrees of accepting or
rejecting the established critical tradition of the classics that has been revived and institutionalized as
neoclassical. In this respect, most of Wordsworths critical ideas emerge as a strong reaction against the
neoclassical ones, especially those on subject-matter of poetry, language of poetry, and definition and origin
of poetry. Coleridge is rather original in relation to neoclassicism but not to contemporary German
philosophy and critical theory in many of his critical ideas, in particular about subject matter of poetry,

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imagination, the purpose of poetry, and definition and origin of poetry. Shelley the critic, unlike the rebellious
and radical Shelley the poet, shows his alliance to the ancient and neoclassical aesthetic doctrine, namely
through his ideas on subject-matter, definition, origin, and purpose of poetry.
Concerning the form, Wordsworths Preface is acclaimed for its density of ideas, direct and plain style,
and persuasive manner. However, the text, in many of its parts, seems rather disorganised and loose in the
presentation of ideas which receive little argumentation, the critic often returning to the same concern and
giving different if not contradictory ideas on the same matter. Such is the case about the language of poetry,
or about the origin of poetry, where Wordsworth starts the discussion with the aim to reject some neoclassical
principles only to return afterwards with explanations and additions as if understanding that the original view
is wrong, naive, or lacks sufficient argumentation.
It is interesting to see that when returning to some previous ideas, Wordsworth either introduces
neoclassical principles or develops original and valid theories. For instance, against the neoclassical
principles of decorum and poetic diction, the language of poetry is first simple, plain, and close to that of
prose, but, later in Wordsworths text, it is also philosophical and open to different stylistic devices. Another
example: poetry, as defined at the beginning of the Preface, is the spontaneous overflow of powerful feelings,
and a few pages later, returning to the idea, Wordsworth develops a highly original theory on the origin of
poetry, stating that this is not enough, the emotions experienced earlier must be recollected in a special,
poetic state of tranquillity, this theory being materialised in his poetic practice, as, for instance, it is expressed
as a major theme in Tintern Abbey. It is interesting to notice that in the returning to his earlier stated ideas
and in their further development or cancellation by contradictory statements stands Wordsworths real merit
as a literary critic.
Unlike Wordsworth, Coleridges critical discourse is much better organized, more academic and
methodological. It seems that with great range of learning and remarkable sense of critical detachment,
Coleridge has realized the importance of literary criticism, its utility and necessity, and its rise as a distinct
discipline. Conscious of the need for a methodological basis for such a discipline, the method is borrowed
from philosophy, as Coleridge, himself a philosopher, influenced, in particular, by the contemporary German
idealist philosophy, has truly conceived of philosophy as the mother of all disciplines and of the philosophical
method as universally applicable, including in the field of literary theory and criticism.
Shelley, on the other hand, writes his essay in a poetic style with figures of speech and ornamentation
of the phrases, in some of its parts the essay being a true poem in prose, where, for instance, the poet is a
nightingale, who sits in darkness and sings to cheer its own solitude with sweet sounds; his auditors are as
men entranced by the melody of an unseen musician.
In the Romantic period, literary criticism became more important and critics self-conscious of their task,
because criticism was needed to prove the validity of Romanticism as a new type of literature which broke
the linearity of the literary development dominated by the revived classical tradition. Romantic criticism was
the promoter and representative of a new literary sensibility, and thus like the criticism of Renaissance,
Restoration, and neoclassicism the voice of a movement, and as such subjective, prescriptive and
defensive, perhaps to a higher degree than the previous periods, given the aim to develop and implement a
whole new type of literature in a cultural background still sensible to neoclassical mentality. Truly, the great
majority of the Romantic critical ideas originated as a reaction against neoclassical principles (in
Wordsworth), although some neoclassical ideas prove their validity in the context of the new Romantic
doctrine which rejects the previous one (in Shelley). However, there is also a strong tendency towards
originality of approach while attempting at establishing methodologies of the critical discourse (in Coleridge).
Moreover, there is a strong tendency towards originality of concern, as Romantic aesthetic attitude has
developed a number of new critical topics or subject-matters, the focus now being on imagination, inspiration,
feeling, emotion, sensibility, and psychological insights into the poetic mind. All of them are reified through
the concentration on particular literary texts, often combined with attempts at theoretical speculation (such as
the theory of imagination) and development of new concepts (such as Secondary Imagination by Coleridge,

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Negative Capability by Keats, and emotion recollected in tranquillity by Wordsworth).
And all of them point to the fact that the major critical concern is the poet, that the producer of art has
moved to the centre of critical attention, the true function of art being now the expression of the artists own
subjective and psychological states. It is what made Abrams formulate the expressive theory as a new
critical theory of art coming into existence with Romanticism after the long dominance of the mimetic and
pragmatic ones, which Victorian period would add to the existing typology a number of others, including the
objective theory.

3. Materialising Theory: the Compatibility and Discrepancy between Romantic Critical Thinking and
Literary Practice in Wordsworth and Shelley

In Romanticism, some of the writer-critics, like Shelley, and similar to earlier critics Sidney, Dryden, and
Johnson, developed critical ideas based on a respectable classical tradition; others, like Coleridge, were
more original and innovative in their critical theories. For some, like for Shelley, criticism was a means of
defending the aesthetic value of literature; for others, criticism represented the instrument to be used in an
attempt to introduce into the contemporary culture and to validate a whole new literary movement, as for
Wordsworth and Coleridge.
These were also those writer-critics who used, or rather materialised, their own literary theories in their
literary texts, such as Wordsworth reifying his theory of the origin of poetry from the Preface to Lyrical Ballads
in his poem Tintern Abbey, or Shelley exemplifying by his literary practice some of his theories. According to
McGann, the works of the Romantic poets are deeply involved with and affected by the ideologies of
Romanticism, and they have even been used by the writers to perpetuate these ideologies (i.e. Romantic
critical thinking), where Romantic poetry incorporates Romantic Ideology as a drama of the contradictions
which are inherent to that ideology (McGann, 1983, p. 2).
Indeed, more than in other periods and movements, in Romanticism literary criticism gave the
impression of being greatly dependent on literary practice, each Romantic author being involved in a kind of
co-authorship as writer and critic. Rather than being concerned with evaluation of particular literary works,
the Romantic critics rejected most of the classical ideas, yet revived some of them, while also developing
new and fundamental ideas on art and literature. However, like in Shelley, the new ideas were presented
excessively in general terms, going beyond the limits of the act of literary creation. Coleridge, introducing the
highly important concept of organicity, also showed that this idea is difficult to apply into practice when
approaching particular literary texts. Wordsworth, in his celebrated Preface, speculates on the nature of
poetry and shows the ways in which poetry may possibly be produced. This aspect is remarkably shown in
his literary practice, namely in Tintern Abbey, a poem that reveals or deconstructs its own process of
composition.
First, Wordsworths literary practice, in particular The Prelude and its shorter version Tintern Abbey,
comes to show the fact that the only major theme of his poetry is his own subjectivity, his individual emotional
experience and states of mind. More exactly with reference to these two poems, the theme is the growth of
the poets/poetic mind, the development of imagination, his experiences of sense, feeling and thought,
following Lockes theories, and, expressing a Romantic attitude, the growth of mind and imagination is in
close interaction with nature and countryside, as for most critics, but also, as for Paul de Man in Time and
History in Wordsworth, in the relationship to personal and historical time (De Man, 1993, pp. 55-77). In a kind
of autobiographical proto-Bildungsroman, Wordsworth expresses a common Romantic experience of
disclosing the development of the poets own consciousness, raising it to the level of universality and making
it seem representative for the entire human condition. The emotion is extremely important in the formation of
personality as it is crucial to the poem: it gives significance to the action and setting, and, if powerful enough,
it would reveal with religious force the workings of the human heart. Again, one may notice here the
contradictory exposition of his critical ideas, in that the sudden overflow of powerful feelings is not enough for

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poetic composition, since emotions, experienced earlier, must be later recollected in a state of tranquillity and
pass into the mind as elevated thoughts, which is expressed in Tintern Abbey and other Wordsworths
poems.
Many of Wordsworths critical ideas emerge as a rejection of the neoclassical principles, and, since
there are no other theories to apply instead, many of them lack a systemic or logical coherence of reasoning.
Bringing into discussion the subject-matter of poetry, against the neoclassical concern with human nature,
Wordsworth identifies countryside, nature, and feelings as the three distinct aspects of the thematic concern:
first, incidents and situations from common life, humble and rustic life, rural life; second, the beautiful and
permanent forms of nature; third, essential passions of the heart, elementary feelings, and passions of
men. These three thematic concerns do not exist separately one from another, but represent a unity of
interrelated and interdependent aspects, where elementary feelings, unaltered by social vanity, stand as the
dominant and the most important of all the elements of the subject-matter of poetry, their source being the
rustic life and their highest expression and embodiment being the natural objects.
Wordsworths literary practice materialises his conception, where in Tintern Abbey nature and rural life
are symbiotically united these pastoral farms,/Green to the very door and represent the source of poets
emotions, a necessary state prior to poetic composition:

These beauteous forms,
Through a long absence, have not been to me
As is a landscape to a blind mans eye:
But oft, in lonely rooms, and mid the din
Of towns and cities, I have owed to them
In hours of weariness, sensations sweet,
Felt in the blood, and felt along the heart;
And passing even into my purer mind,
With tranquil restoration: feelings too
Of unremembered pleasure

In most parts, however, there is little consensus between Wordsworths literary theory and literary practice,
and Wordsworths best poetry is that which departs as far as possible from his own theories of what poetry
should be, in particular concerning the subject-matter and the language of poetry. Tintern Abbey, his long
autobiographical poem The Prelude, and most of his other poems also clearly show that the main thematic
concern of his poetry is the poets own subjective experience, his feelings and states of mind, rather than
nature and countryside. Wordsworth constantly writes himself into his poetry and his apprehension of the
universe is purely personal. Wordsworths best poetry renders the growth of the poets own consciousness,
the interrelated theme being the natures and countrysides role in this growth of individual mind.
Wordsworths ideas on the subject-matter of poetry merge in the Preface with those on the language of
poetry, which should be also found in the humble and rustic life, in which people speak a plainer and a more
emphatic language. Against the neoclassical decorum and poetic diction, it is necessary, insists Wordsworth,
to imitate, and, as far as possible, to adopt the very language of men. Also, in Wordsworths opinion, the
language of poetry allows no sharp differences from the language of prose: the language of a large portion of
every good poem, even of the most elevated character, must necessarily, except with reference to the metre,
in no respect differ from that of good prose, but likewise that some of the most interesting parts of the best
poems will be found to be strictly the language of prose when prose is well written.
One may point here to a contradictory expression of ideas about the language of poetry, in that the
language really used by men, a plainer and a more emphatic one, a language that would not differ from the
language of prose, is actually required to be a more permanent and a far more philosophical language and
even made complex, dignified and variegated, and alive with metaphors and figures, or, at least, a figure of

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speech occasionally prompted by passion, and I have made use of them [figures of speech] as such; but
have endeavoured utterly to reject them as a mechanical device of style, or as a family language which
Writers in metre seem to lay claim to by prescription.
In Romanticism, as a reaction against the neoclassical emphasis on reason and common sense, poets
gave value to imagination as the most important human faculty, the primary and the actual creative principle
in poetic activity. Likewise, Wordsworth regards imagination as the creative principle which, when used by
the poets, would modify the simple and common aspects of life, chosen as the subject matter, where
ordinary things should be presented to the mind in an unusual way; and, further, and above all, to make
these incidents and situations interesting by tracing in them, truly though not ostentatiously, the primary laws
of our nature.
As it is expressed in the Preface, the purpose of poetry is to teach, purify the soul, and improve morally
the human being: the Reader must necessarily be in some degree enlightened, and his affections
strengthened and purified. To this, Wordsworth also adds the principle of pleasure: whatever passions he
[the poet] communicates to his Reader, those passions, if his Readers mind be sound and vigorous, should
always be accompanied with an overbalance of pleasure.
Bringing into discussion the nature of the poet, Wordsworth offers one of the most famous definitions of
poetry and a very interesting conception about its origin, claiming that all good poetry is the spontaneous
overflow of powerful feelings, to which later in the Preface he adds the idea that the emotion, experienced
earlier, should be recollected in tranquillity:
Poetry is the spontaneous overflow of powerful feelings: it takes its origin from emotion recollected in
tranquillity: the emotion is contemplated till by a species of reaction the tranquillity gradually disappears, and
an emotion, kindred to that which was before the subject of contemplation, is gradually produced, and does
itself actually exist in the mind. In this mood successful composition generally begins, and in a mood similar
to this it is carried on; but the emotion, of whatever kind and in whatever degree, from various causes is
qualified by various pleasures, so that in describing any passions whatsoever, which are voluntarily
described, the mind will upon the whole be in a state of enjoyment.
This theory of origin of poetry is also materialised in his own poetry, the poem Tintern Abbey, from one
interpretative perspective, apart from its themes of nature, memory, and the growing poetic mind, clearly
revealing, or rather representing in itself, the poetic activity in progress, a poem about writing a poem, a
poem disclosing, or deconstructing, it own process of composition.
Five years ago, the poet visited for the first time the beautiful place near Tintern Abbey, where he
experienced that spontaneous overflow of powerful feelings because he was in his youth in which everything
was to him an appetite; a feeling and a love. Now, revisiting the place five years later, which is the moment
of the composition of the poem, the poet is in his maturity in which he has lost the ability to experience
powerful feelings but has acquired another one, of aspect more sublime, which is that of elevated thoughts
and rationalizing.
At the present moment, governed by mind not heart, and being offered by nature and countryside that
special poetic mood based on tranquillity, the poets picture of the mind revives again and consequently the
emotion experienced five years ago is now recollected, remembered, re-experienced, leading to the act of
poetic creation, that is, to the actual composition of the poem entitled Lines Composed a Few Miles Above
Tintern Abbey On Revisiting the Banks of the Wye During a Tour. July 13, 1798.
Wordsworths critical text shows that his ideas on poetry define the major characteristics of the
Romantic poetry in general, and that they originate mainly as a rejection of the key neoclassical principles
while demonstrating the validity of the new, Romantic type of literature.
Unlike Wordsworth, Percy Bysshe Shelley, in his essay entitled A Defence of Poetry, relies heavily on
the classical heritage. A non-conformist in real life, a rebel and radical in literary practice, the creator of
Prometheus Unbound shows himself to be a traditionalist in critical thinking. This is justified by the fact that
Shelley came to write his essay as a reply to the article entitled The Four Ages of Poetry, in which his friend

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Thomas Love Peacock argues that poetry has become useless, and that the modern mind must turn instead
to scientific and technological concerns. Shelley conceived his essay as an answer to this article, which
offered him the opportunity to express his own ideas on imagination, poet, language and purpose of poetry.
The purpose of poetry is, actually, the main critical concern, since Shelley attempts to defend the value
of poetry and of imaginative literature, in general, against the rising industrial culture. The purpose of poetry,
as attributed by Shelley, considers a wide spectrum of social and moral implications, already expressed and
argued about in the traditional background of classical literature since Horaces utile et dulce. Likewise,
throughout his essay, Shelley associates poetry with social freedom and defends its status as a moral
benefactor for the community, insisting on the social function of poetry, on one hand, through imagination, to
produce the moral improvement of man, and, on the other hand, to award learning and pleasure, as it offers
to reader the wisdom which is mingled with its delight. Also, poetry acts in diviner manner. It awakens and
enlarges the mind itself by rendering it the receptacle of a thousand unapprehended combinations of thought.
Poetry lifts the veil from the hidden beauty of the world, and makes familiar objects be as if they were not
familiar; it reproduces all that it represents.
Shelleys text reveals the continuation of some neoclassical views, such as the purpose of poetry to
teach, delight, and strengthen the ethical values, or the subject-matter of poetry being the unchangeable
forms of human nature, as existing in the mind of the Creator, or the definition of poetry: A poem is the very
image of life expressed in its eternal truth. Apart from that, Shelley embraces many of the new Romantic
ideas and even develops original critical opinions.
As a Romantic writer, Shelley expands together with Wordsworth and Coleridge the expressive theory
of authorship and emphasises the importance of imagination; poetry, the way Shelley conceived of it, is the
expression of imagination. Like for other Romantic critics, imagination is for Shelley the most important
human power and the main artistic principle for the poet, the most resourcefully creative, unifying, and
ordering principle in the act of creation, but Shelleys approach to imagination reveals also a neoclassical
perspective with clear social and moral implications regarding, first of all, its function to improve the man, for
imagination is the great instrument of moral good:
The great secret of morals is love; or a going out of our own nature, and an identification of ourselves
with the beautiful which exists in thought, action, or person, not our own. A man, to be greatly good, must
imagine intensely and comprehensively; he must put himself in the place of another and of many others; the
pains and pleasures of his species must become his own. The great instrument of moral good is the
imagination; and poetry administers to the effect by acting upon the cause. Poetry enlarges the
circumference of the imagination by replenishing it with thought of ever new delight, which have the power of
attracting and assimilating to their own nature all other thoughts, and which form new intervals and interstices
whose void for ever craves fresh food. Poetry strengthens the faculty which is the organ of the moral nature
of man, in the same manner as exercise strengthens a limb.
An example of original critical thought, which also goes against the classical view of art as mimesis,
would be Shelleys ideas on the language of poetry, which, in his opinion, is arbitrarily produced by
imagination and has relations to thoughts alone, that is, the word has no equivalent, or referent in reality, and
represents the textual expression of the poets thoughts and feelings, or any of the poets ideas that are
produced and exist only in his mind without being reflections of reality. Moreover, against the classical
tradition emphasising the rules of poetic composition, the poet is free to deviate from tradition and innovate it,
especially in matters of harmony and musicality of the verse:
An observation of the regular mode of the recurrence of harmony in the language of poetical minds,
together with its relation to music, produced metre, or a certain system of traditional forms of harmony and
language. Yet it is by no means essential that a poet should accommodate his language to this traditional
form, so that the harmony, which is its spirit, be observed. The practice is indeed convenient and popular,
and to be preferred, especially in such composition as includes much action: but every great poet must
inevitably innovate upon the example of his predecessors in the exact structure of his peculiar versification.

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The idea about the harmony and the music of the verse is materialised by Shelley in his own poetic practice,
as in the musicality of To a Skylark, in which the poet defines poetry as harmonious madness. Like
Wordsworth materialising his theory of the origin of poetry in Tintern Abbey, Shelley expresses his views of
poetic language in To a Skylark. In this poem, the bird is blithe Spirit!/Bird thou never wert. The skylark
neither exists in reality to be imitated in the art of poetry nor is described as a material presence in the text.
It is the creation of the poets mind, the poet imagining such a creature somewhere above him in the sky and
being able only to hear its music, its song representing profuse strains of unpremeditated art.
This experience allows Shelley to engage into the complex Romantic representation of nature ranging
from its expression as pure spirit, perfect beauty and superior form of art to its consideration as the ultimate
source of inspiration and even as divinity, from Heaven, or near it, in the tradition of Romantic Pantheism.
Moreover, Shelleys opinion that the language of poetry is arbitrarily produced by imagination and has
relations to thoughts alone allows him to conceive of the skylark and its song as the substance of the realm
of non-reality which stands above the reality of the human world, which is the world of the mortals, inferior to
the supreme world of the skylarks music. Both reality and non-reality, both human, mortal world and the
spiritual world of nature are the two distinct parts of the Romantic dualism of existence. In its framework, the
poet assumes through his lyrical I a place between the worlds, an intermediary position between reality of the
humans and the non-reality of the skylark. In this position, the poet is at once an inspired bard, when the
skylark is viewed as an artist of superior status, and a prophet, when the skylark is ranked to divinity:

Teach me half the gladness
That thy brain must know,
Such harmonious madness
From my lips would flow
The world should listen then as I am listening now.

Be they bound to classical tradition, or expressing Romanticism, or being original, Shelleys critical ideas
have one particular task and are directed to one end to demonstrate the utility of poetry and defend its
aesthetic validity as well as social and moral function which make Shelleys criticism to be one of the most
defensive texts in English critical thinking.
Other English Romantic writer-critics also materialise their theories in their own literary practice, as for
instance Coleridge with his organic principle in literature. An organicist in literary criticism, Coleridge speaks
about the developing itself from within, by an internal energy, like a growing plant, organic form of the literary
work. For Coleridge, the mode of operation of imagination whose shaping and modifying power is different
from the associative power of fancy is compared to the biological (organic) growth, and a poem expresses
its organic form which results from the immediate employment of secondary imagination, and which is
illustrated by the poetic techniques involving, in particular, special use of language. In Coleridges literary
practice, an example would be the introduction of the ample cadence of the anapaest among the iambs in
Christabel. In Biographia Literaria, Coleridge also discusses the importance and role of meter and rhyme in a
poem, mentioning that nothing can permanently please which does not contain in itself the reason why it is
so, and not otherwise. Coleridge theories of the organic form, growth and the interrelatedness of parts and
the whole in literature influenced much of contemporary and later critical theory, as to mention just Poe,
Henry James, and the New Critics who especially emphasised organicism and extended it from literary form
to philosophical context.

4. Conclusion

The Romantic critical theory has a threefold perspective of development, emerging from an attempt at critical
and theoretical originality, or as a reaction against classical and neoclassical principles, or as a continuation

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of some classical views (at least their reinterpretation).
William Wordsworth, first in the line of the great Romantic critics, in the Preface to Lyrical Ballads
defends the literary validity of a new type of poetry and attempts its implementation in the contemporary
cultural background against the neoclassical doctrine. Like Fielding before and Woolf after him, Wordsworth
uses criticism to justify his own literary practice and implicitly the general type of imaginative writing the
writer-critic belongs to. Most of Wordsworths critical ideas emerge as a reaction against neoclassicism,
namely the Augustan emphasis on reason, rules, imitation, and decorum. They can be summarised as
follows: the object of poetry is to choose incidents and situations from common life, written in a selection of
language really used by men, where there is no essential difference between the language of prose and
metrical composition, the poet being a man speaking to men and poetry the spontaneous overflow of
powerful feelings originating in emotion recollected in tranquillity and having the purpose to enlighten the
understanding of the reader and to strengthen and purify his/her affections.
Disturbing the balance of utile and dulce in favour of the latter is the less subjective and defensive
Samuel Taylor Coleridges Biographia Literaria with its more philosophical, scientific and methodological
attempts to define literature. Coleridge is to the present acclaimed for his theory of Secondary or poetic
imagination in contrast to Primary Imagination and fancy, and for his theory of the organicity of literature.
Percy Bysshe Shelleys A Defence of Poetry focuses on the nature and role of poetry and imagination,
mainly with regards to their effects upon society and the manner in which poetry acts to produce the moral
improvement of man. In spite of its subjective and defensive tone, and its lyrical and ornamented style,
Shelleys text represents a major development in critical writing, in particular due to its theories of language
and its aesthetic effect, the idea of defamiliarisation and that of impersonality, the relationship between
conscious, unconscious, language, and reality. The main critical concern of these authors is the literary field,
even though they also delivered political and social commentary in the form of prose-pamphlets, essays,
speeches, editorials, or sermons; and all exhibit an explicit or submerged concern with the contemporary
historical and intellectual situation in the greater part of their verses, narrative, dramatic, and lyric, long and
short (Abrams, 1970, p. 102).
As writer-critics, the Romantics focus primarily on literature and, among the literary issues, the inner
experience of the poet is an essential concern in Romanticism, everything written on literature evolving
implicitly around the idea of authorship. As Coleridge made it clear in Biographia Literaria, and what became
a major critical principle, the evaluation of the literary work must be performed in the same way in which the
author creates it. It is one of those new critical horizons opened by Romanticism which led to the rise of the
expressive theory of authorship. A modern invention having its origin in the Romantic view on art and
literature, according to Michel Foucault (in What Is an Author?, 1969), this idea postulates that the author is
an all-powerful creator of the text, and for this reason the text should be explained by investigating the life
and thinking of the author. Romantics reject thus the classical critical perspective, which considers the
relation between the work and the audience, and emphasise instead the relation between the work and the
poet. The real meaning of the text, Romantic critics argue, results not from its relation to the receiver but from
the attentive study of its relation to the author, the real creator of the meaning. For the Romantic writer-critics,
the author is a person apart, an individual whose imagination and sensibility make him different from the
others, and the text expresses the author, his inside, subjectivity and self-consciousness.
Moreover, focusing now on aesthetic criteria, the Romantic writer-critics debated on literature in relation
to literature, searching for and adding to literary practice a number of theoretical considerations as well as
prescriptions concerning the aims and possibilities of literature, among which those that literature did not
possess yet. Coleridge, in particular, like Schlegel brothers, realised that literary criticism is impossible
without theory and principles, just like literary history is impossible without applying certain foreign
comparisons (Marino, 1998, p. 14). True writer-critics, the Romantics emphasised the text in itself but also
the relation of the text to the poet and in consequence developed the expressive theory of authorship,
considering the work to be the expression of the authors own emotional and psychological states. However,

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although to a lesser degree, the classical, Aristotelian views of the works effects upon reader were also not
forgotten, since Wordsworths ideas about poetry as teaching and delighting and his view of poetry as
heightened sensation or Coleridges dictum of the suspension of disbelief both appeal to the relation of
reader and text, rather than to features of text in isolation (Cook, 1995, p. 174).
The importance of Romanticism in the development of literary criticism results from the fact that the
Romantic aesthetic doctrine conferred to criticism a more scientific and theoretical nature, developed new
critical concerns, searched and established methodology. Although many Romantic critical ideas have been
rejected by the next generations of critics, the Romantic Movement in Europe has been the primary source
for many twentieth century critical concepts and principles. To mention just Coleridges view of the organic
form of poetry, which becomes an important concept in New Criticism, and his speculation about the poetic
form which consists of the whole and the parts, which prefigures the Formalist approach.
Romantic criticism developed into a literary doctrine consisting of a complex range of theoretical and
practical ideas and principles reifying the concerns, especially, with the status and role of the poet, as well as
the definition and origin of poetry, subject matter of poetry, relationship of poetry to nature and mind,
language of poetry, imagination and inspiration, and the purpose and function of poetry.
The differences of approach to these concerns which are common to most Romantic critics are the
result of the fact that some Romantic ideas on art emerge as a rejection of the classical and neoclassical
ones, but some of them remain to be neoclassical, whereas others are original. These differences
correspond also to the distinct conceptions of individual writer-critics and apply to contradictory, even hardly
adequate, definitions about one and the same critical concern. The function of art, for instance, is conceived
in the classical way as utile et dulce; nevertheless, the Romantic criterion of pleasure or expressive emotion
leads to some kind of art for arts sake formula, or to the sentimentalism which Mill still shared and which
marks the shift in sensibility from Neoclassic to Romantic (Hartman, 1993, p. 47). It is one of the reasons for
the statement that Romanticism gave aestheticism, symbolism and impressionism which further developed
into modernism.
As Romanticism represents the invention of modern poetry, the Romantics are truly writer-critics
prefiguring the modern approach by conceiving of the critical act as the judgement of value, and thus
including criticism into a larger and more comprehensive axiology. Also, by institutionalising the individuality
of the artist, imagination, emotions, and the artistic practice in itself as legitimate critical concerns, the
Romantics broadened the scope of literary scholarship and laid an important part of foundation for modern
theory and criticism. It is then justified to adhere to the affirmation of M. H. Abrams from the beginning of his
celebrated The Mirror and the Lamp, saying that the development of literary theory in the lifetime of
Coleridge was to a surprising extent the making of the modern critical mind (Abrams, 1953, p. vii), and to
claim that the romantic ideas remain relevant and, whats more, more sensitive to a strange, shape-shifting
culture than the Enlightenments rationalist legacy. Romanticism compensates for rationalitys proven
limitations, even as it anticipates much of the best of what postmodern thought has provided, and all without
losing historical continuity or resorting to nostalgic inertia (Black, 2002, p. 8).

Bibliography

Abrams, M. H. (1953). The Mirror and the Lamp: Romantic Theory and the Critical Tradition. Oxford: Oxford University Press.
Abrams, M. H. (1970). English Romanticism: The Spirit of the Age. In H. Bloom (Ed.), Romanticism and Consciousness: Essays in
Criticism (pp. 91-119). New York: W. W. Norton and Company.
Bahti, T. (2001). Literary criticism and the history of ideas. In C. Knellwolf & C. Norris (Eds.), The Cambridge History of Literary Criticism,
Volume 9: Twentieth Century Historical, Philosophical and Psychological Perspectives (pp. 31-42). Cambridge: Cambridge
University Press.
Bennett, A. (2006). Expressivity: the Romantic theory of authorship. In P. Waugh (Ed.), Literary Theory and Criticism: An Oxford Guide
(pp. 48-58). Oxford: Oxford University Press.
Black, J. David. (2002). Politics of Enchantment: Romanticism, Media and Cultural Studies. Waterloo: Wilfrid Laurier University Press.

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Butler, M. (1981). Romantics, Rebels and Reactionaries: English Literature and its Background 1760-1830. Oxford: Oxford University
Press.
Chase, C. (1993). Introduction. In C. Chase (Ed.), Romanticism (pp. 1-42). London: Longman.
Cook, G. (1995). Discourse and Literature: The Interplay of Form and Mind. Oxford: Oxford University Press.
Day, G. (2008). Literary Criticism: A New History. Edinburgh: Edinburgh University Press.
De Man, P. (1993). Time and History in Wordsworth. In C. Chase (Ed.), Romanticism (pp. 55-77). London: Longman.
Durand, G. (1998). Figuri mitice i chipuri ale operei: de la mitocritic la mitanaliz. Bucureti: Nemira.
Harland, R. (1999). Literary Theory from Plato to Barthes: An Introductory History. New York: Palgrave Macmillan.
Hartman, G. (1993). Romanticism and Anti-Self-Consciousness. In C. Chase (Ed.), Romanticism (pp. 43-54). London: Longman.
Marino, A. (1998). Comparatism i teoria literaturii. Iai: Polirom.
McGann, Jerome J. (1983). The Romantic Ideology: A Critical Investigation. Chicago: The University of Chicago Press.
Urnov, D. M. (Ed.). (1979). The Idea of Literature: The Foundations of English Criticism. Moscow: Progress Publishers.
Wellek, R. (1955). A History of Modern Criticism: 1750-1950, Volume 2: The Romantic Age. New Haven: Yale University Press.
Wellek, R. (1963). Concepts of Criticism (ed. Stephen G. Nichols Jr.). London: Yale University Press.


141

Examining Cross-Cultural Clues as to Globalization and Iran's Culture in an International
ELT Book Series - American English File

Sima Ziaei

Ferdowsi University of Mashhad
Email: s_ziaei_doc@yahoo.com

Doi: 10.5901/mjss.2012.03.01.141

Abstract This study aims to investigate the cross-cultural issues in four volumes of an English textbook- American English File.
For the aim of this study the different countries mentioned in the book were highlighted and classified based on different aspects
of culture. This study believes in global English and intends to discover the extent to which these books consider this issue. The
results suggest the UK and the USA were the most frequent mentioned countries in the reading texts. Iran as an Asian country
had no room in this book and Japan was the most frequent Asian country.

Keywords: Culture, World Englishes, Globalization

1. Introduction

Culture which has been defined as "the behavior patterns, arts, beliefs, institutions, and all other products of
human work and thought, esp. as expressed in a particular community or period" in The American Heritage
Dictionary has been defined and considered by many scholars. For instance, Chastain (1988) divided culture
in small and large ones. By large, he meant the major products of the society in general, and by small he
referred to the way people live. Lessard-Clouston (1997) referred to Kroeber and Kluckhohn (1954) who
found over three hundred definitions for culture. For instance Robinson (1988) defined culture as a system of
symbols on which past experiences influence to make meaning and it affects the future experience.

2. Theoretical Framework

2.1. Language and Culture

Rashidi and Najafi (2010) stated that culture and language are related. They believed "relationship between
language and culture is so great that they are referred to as the sides of the same coin" (p.624). But should
they be related in the sense of language teaching in classrooms? Harumi (2002) stated that since Sapir
(1921), language and culture have been considered to be taught in a close association. According to Clouet
(2006) in the last three decades culture has been becoming a significant part of language teaching. In his
view, every particular language is composed of a particular system of values which manifests the culture.
Therefore, learning a language necessarily involves learning the culture in order to be able to communicate
successfully, but this learning should be comparative and contrastive. Students learn a new system of values
by learning the target culture which can be understood in the light of learners existing cultural knowledge to
be meaningful for them. This will lead to their appraisal of the target culture and better understanding of their
native culture.
Hayati (2009) stated language is a means to convey cultural information and it reflects ways of thinking.
He referred to some authors (Byram 1997; Harumi, 2002; Kramsch 1993) and emphasized the impossibility
of teaching English without culture.
Ketabi and Talebinezhad (2009) also emphasized that teaching and learning a foreign language is not
tantamount to teaching grammar and vocabulary because as Kachru and Nelson (1996) stated readers

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receive any text in three levels: intelligibility, interpretability, and comprehensibility, and according to Chastain
(1988) what affects comprehensibility is the students' familiarity with the foreign culture. In addition, Mobasser
and saeedi tavakoli (2011) believed that we cannot separate language and culture; learning a language
without culture means failure in its use. They said if we could perceive the others' message by words and
without culture, everyone would be able to learn a language only by help of a bilingual dictionary and a
grammar book.

2.2. Globalization

Al-Salman (2007) believed that in the last two decades, languages especially English has been influenced by
globalization.
Kachru and Nelson (1996) the key figures of the world Englishes theory stated that the accepted
varieties of English are American and British, whereas there are many other national varieties of English such
as Canadian, Australian, New Zealand, Dominican, Indian, Tanzanian, Ugandan, Kenyan, and so many
others. In theses countries English is the native or the official language. So, why not their English should be
considered the accepted version?
English has been widespread because of immigration, colonization, or other purposes. Thus, in
addition to the countries in the Inner circle (natives), the countries in the Outer circle (ESL) and the
Expanding circle (EFL) should be considered as well. Singh, Lele, and Martohardjono (1988) mentioned that
the majority of people in the world worry about being misunderstood by the American or British who are the
minority (cited in Chick, 1996) Therefore, we might come up with these questions that "Which of these
countries' culture entails to be integrated with English as an international language? Or "Do we have to select
one or a few of these countries and cross the others out?" Or "Shall we refer to English as a global language
and include many cultures in teaching English?" Harumi (2002) confirmed Smith (1981) and declared that
nobody needs to become like native English speakers to use English well. Therefore, it does not need to
clean forget your own culture to learn English.
Clouet (2006) also declared it is true that language and culture are integral parts, but he raised a
question that whose culture made up that integral part. He stated that English has become "de-nationalized,
and there is no longer any particular culture associated with the language in general", so it seems really
difficult to select which culture should be taught (p.56). Moreover, Hayati (2009) quoted Savignon and
Sysoyev (2002) that English is a global language and a specific culture should not be highlighted.
For the purpose of this study, the adopted approach toward English culture is the global English or the
world Englishes, and since "the first step toward being able to discuss English in its global context is to
overcome a quite natural or intuitive concept of the ownership of language" (Kachru & Nelson, 1996), this
study considers no owners for the English and tries to scrutinize the four volumes of American English File
series to see whether or not there is a matter of ownership by American and British writers in these books or
whether the target culture- Iran's culture- as a country in the Expanding circle is emphasized, because based
on Johnson (1981, 1982) students better understand the texts which are based on their background culture
(cited in Chastain,1988)

2.3. Culture in Textbooks

There have been plenty of theories and studies on the interaction of reading texts and culture and on the
issue of globalization. For example Baker (2003) believed that teaching of culture, unlike in Thailand, should
be an integral part of normal language classrooms. Teaching culture in his opinion should take place in three
levels: teacher training, materials development, and course content. Learners should be aware of the new
culture and should be able to compare it with their own culture.
Sadeghi (2007) referred to culture as one of the key factors to reading comprehension. In his study,

143
cultural knowledge was proved to be one of the distorting factors in comprehension, especially when a text
contains cultural elements with which readers are not familiar enough. However, his emphasis was more on
cultural invasion rather than globalization. It means he believes foreign cultures should be adjusted to our
own culture before stated in our textbooks.
Al-Salman's (2007) findings recognized the global role of English which can be due to its ability to deal
with technology and due to its role in international decision making.
In the issue of globalization, 96 percent of the participants in a study by Al Jarf (2008) declared they
consider English superior to Arabic because they think English is the language of the global village. English is
used in all countries, while Arabic is restricted to some countries.
Ketabi and Talebinezhad (2009) searched for socio-cultural patterns in high-school books of Iran and
believed that educational foreign texts should contain various cultures while it seems to be a shortage in
these books and it might be due to the fact that these books are written by Iranian authors.
Baleghizadeh and Jamali Motahed (2010) realized that compared to British textbooks, American
textbooks contain more cultural contrasts. They stated the American textbooks show the American way of life
and how one should behave in the United States, but the British textbooks mostly depict the British way of life
and how one should behave in different situations.
Rashidi and Najafi (2010) examined ILI (Iran Language Institute) advance reading texts and perceived
nineteen percent of the texts do not carry any specific culture and only seven per cent of the texts are related
to Islamic culture. However, their study revealed a good variety of cultures in the reading texts, that is,
although their study confirmed lack of the presence of some cultures, it corroborated the presence of variety
in introducing cultures in reading texts.

3. Objects of the Study

Rashidi and Najafi (2010) who scrutinized the ILI advanced books stated that there is lack of studies on the
materials and the culture taught in Iran institutes. Therefore, the major purpose of this study is to examine the
content of four volumes of one of the textbook series in English institutes - American English File- to see
whether they are culturally based and whose culture is emphasized. In order to achieve this goal, the current
study addresses the following questions:
Q1. Do the reading texts in American English File series (Start, 1,2, 3) convey the idea of world
Englishes?
Q2. Which circle (Inner, Outer, or Expanding) is the center of attention in the reading texts of these
books?
Q3. Do the reading texts in American English File series (Start, 1,2, 3) include Iran's culture and values as
an Islamic country?

4. Method

4.1. Materials

The American English File series has recently started to be taught in language institutes of Iran. These books
are going to be taught in 15 terms in an English language college- Azaran. The number of terms might be
different in other institutes. Currently, only three books have been taught and from next terms the other
volumes will be covered too. That is why this study considers only 4 volumes, i.e., Start book, books 1 and 2
which are being covered and book 3 which is going to be taught from next term. Start and book 3 contain 7
units and books 1 and 2 have 9 units. We cannot consider the same pattern for all units because while one of
them starts with grammar, the other may start with reading.
The reading texts are the focus of this study, because reading is more a receptive skill than a productive

144
one, and it can be a good means to enrich or invade a culture. In these books, reading texts are generally
accompanied with other skills such as listening or speaking or with language components like vocabulary.
Only the texts which are labeled "Reading" are taken into account for the aim of this study.

Name of the book: American English File (2010)
Authors: Clive Oxenden and Christina Latham-Koenig
Publisher: Oxford University Press

4.2. Procedure

In this study, all the reading texts in all four books put under investigation. The countries which are mentioned
in the books were classified into five groups. Rashidi and Najafi (2010) observed Ramirez and Halls' (1990)
study of content analysis and established a coding scheme with eight categories: reference to English
speaking countries (H), reference to non-English speaking western countries (I), reference to eastern
countries (L), Cross-national comparison (M), reference to Iran (N) and, reference to Islam or Islamic
traditions (O), general texts such as those related to science(J) (p.627). Observing their research, this study
preferred to establish 5 categories: 1) Asian countries, 2) European countries, 3) African countries, 4)
American countries and 5) Australian countries. Even only a name of a country was considered. The
researcher went through this process for any individual book and for all the books together. If the name of a
country was not specified, the clues such as names and identities were taken into account.
Baleghizadeh and Jamali Motahed (2010) adopted Taki's (2008) five major categories to analyze the
content. These five categories are: "a) cultural contrast, festivals and customs, b) entertainment, human
interest stories, discussion starters ranging from trivial matters to social issues, c) occupational, d) consumer-
oriented, and e) Interpersonal, introspective, interactional regarding individuals and institutions". In addition,
they added four more categories including law enforcement, advertisement, politics, and education (p.8). This
study accumulated a) and b) and made a new category: behavioral patterns which contain subjects like
general lifestyle, way of dressing, activities on vacation, parties and festivals. Institution as another category
in this study can cover c) to some extent because institutes and offices go to this category.
The categories selected here can mostly show the researcher's approach toward culture and the most
important aspects of culture in her viewpoint. Therefore, instead of adding categories, the researcher
establishes her own categories, based on different aspects of culture. These categories are as follows: 1.
Behavioral patterns 2. Art (e.g., Painting, sculpturing) 3. Beliefs/ thought 4. Institutions (e.g., schools) 5.
Product of work (e.g., books, films). 6. What to eat and drink.
The percent of coverage of the 5 continents were calculated and then in another table the number of
referring to each country based on the different aspects of culture was counted.

5. Results

The results of this study, as shown in Table 1, can reveal the following facts:
1. In the Start book, there was about 26% reference to the Asian countries, while this percentage for the
European, American, African and Australian was about 48%, 26%, 0% and 0% respectively.
2. In book 1, about 11% and 46% of the mentioned countries were Asian and European respectively,
while 37.5% was dedicated to American countries and only 3% was specified to each African and
Australian countries.
3. In book 2, the percentage for Asian, European, American, African and Australian countries were
about 6%, 51%, 37%, 0%, and 6% respectively.
4. In book 3, Asian and Australian countries took about 6% of the reading texts, while European
countries took 48.5%. American and African countries were mentioned in 26% and 14% of the texts

145
respectively.
5. Generally, in all four books, European countries with about 47.5% were the highest mentioned
countries. The American countries were ranked the second with about 32%, and Asian countries
came third with 11.5%. African and Australian countries took the joint fourth place with about 4%.
6. The only countries to which there are references in all aspects of culture, which were considered in
this study, are the US and the UK. Other countries are mentioned in one or a few of the aspects.
Having a look at the first and second ranked continents, we can realize that among European countries
England, Britain and the UK were the most repeated ones; other countries like Italy, Norway, France,
Germany, Spain, Russia, and Scotland were mentioned too, but much fewer than those three altogether. For
example in all four books, about 22 times, i.e., about 1/3 of all European countries, the related cities or
countries to the UK were mentioned while only 5 times Germany was taken into account. Besides, the
American cities and countries in these books include all English speaking ones except for a few of them such
as Brazil, and Mexico. This could reveal that the Inner circle countries are centralized in these books.
Among Asian countries, Japan was the most frequent one with about 44% reference. The countries
mentioned in this category like Japan, Turkey, Vietnam, China, Thailand and Singapore could be considered
in the Expanding circle in which English language is considered a foreign language.

Table 1. The percentage of considering each continent in each book

Continents

Books
Asia Europe America Africa Australia
Start 26.08 47.82 26.08 0 0
1 15.62 40.62 37.5 3.12 3.12
2 6.12 51.02 36.73 0 6.12
3 5.71 17 9 5 2
Total 11.5 47.48 32.37 4.31 4.31

Table 2, which is following, is the second step to detect the cultural concern in these books. As it is clear, the
Japanese culture was the Asian culture which was the most frequently mentioned in this book series. Among
the European countries, the UK and among the American ones, the USA were the most frequently
mentioned. On the other hand, African and Australian countries, and consequently their cultures, could be
said to have been ignored to some extent.
In Table 2, the distribution of cultural features of different countries which were referred to in the texts is
shown under six categories which were stated in procedure section, i.e., 1. Behavioral patterns 2. Art 3.
Beliefs/ thought 4. Institutions 5. Product of work 6. What to eat and drink.

Table 2. Distribution of cultural features of different countries in the texts

Features

Continents
1 2 3 4 5 6
Asia J(5)
T(2)
V(2)
J(2) J(2) J(4)

Europe
S(6)
N(4)
I(7)
U(2)
F(1)

S(1)
F(2)
U(5)
F(2)
U(4)
I(1)
G(1)
I(2)
S(1)
F(3)
I(2)
U(6)

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U(17)
W(1)
F(7)
G(3)
R(1)
f(1)
Gr(1)
G(1)
R(1)
I(2)
f(1)
S(1)
R(1)
U(1) N(1)
R(2)
America Us(43)
C(2)
B(3)
c(2)
Us(6) s(12) Us(7) Us(14) Us(12)
Africa K(2)
b(1)
Af(2)
M(1)

Australia A(1)
Nw(1)

J=Japan T=Turkey V=Vietnam S=Spain N=Norway
I=Italy U=UK W=Sweden F=France G=Germany
R=Russia f=Finland Gr=Greece Us=USA C=Canada
B=Brazil c=Colombia K=Kenya b=Borneo Af=Africa
M= Mali A=Australia Nw=New Zealand

6. Discussion

The goal put forward by this study was to examine the ownership of English by the native countries which
provide the English books for other countries, and to study whether the authors consider the issue of World
Englishes and in particular, whether they include Iran's culture in their texts or not.
With regard to the results of this study, our first hypothesis agreeing with Rashidi and Najafi (2010) can
be confirmed. It means these books include the other countries' culture in their reading texts although some
of countries may be ignored and some may be highly focused.
The second question in line with Baleghizadeh and Jamali Motahed (2010) could be answered in this
way that although some non-English speaking countries are included, the Inner circle countries, especially
the UK and the USA, are more highlighted in these books, and all considered aspects of their culture are
covered. Therefore, the Inner circle is the center of attention.
To answer the third question of the study, we can conclude that Iran's culture has no room in these
books. First of all Iran as an Islamic country can have many common points with Islamic countries, but to our
chagrin, there is no reference to any Islamic culture in the reading texts. Secondly, Iran as an Asian country
can have some common points with its neighbor countries, but only 11.5% of all the four books have been
specified to Asian countries which was mostly focused on Japan.
Although, based on studying the reading texts, Iran's culture has not mentioned in these books, it can be
influenced by different cultures due to globalization's role in facilitating cultural integration. In fact, this
integration can influence all cultures including ours. In this process the countries which are introduced more
frequently might be more influential than the countries which are never or hardly ever mentioned. But does
this integration enrich or weaken our culture? This is a question which must be answered in a full research,
considering the fact that thanks to technologies, such as the Internet, satellite, cell phone, etc., culture has
turned into an ever-changing subject. In fact, we cannot easily judge if a difference has a positive or negative
effect on our culture. Therefore, in this study, we only compare these differences to our system of values to
see whether they are in line or against our values and we do not claim that they enrich or weaken our culture.

147
To judge whether or not they are taboos and against our system of values, we should wonder if an Iranian
author wanted to write a book, they would be allowed officially to include these topics. Some of the cultural
differences in the books under study will be stated in the following paragraphs.
As an example, in the Start book, there are some texts in which a man cuts women's hair or the
youngsters who go to bar or clubs for fun or work in a pub, or walk their dogs in parks. There are also texts
about friendship of girls and boys and their dancing and singing together. Some Iranian might have been
used to such behavior, but they are completely against our Islamic and Iranian culture and values.
Beforehand, talking about girlfriends and boyfriends used to be a taboo in classrooms, but these days even if
teachers want to avoid talking about these topics, books prepare the requisites. At the same time we should
consider the fact that these books are not only for Iran and in many other countries, such topics may be
acceptable. Other topics which are mentioned in reading texts of Book 1 and are against our system of
values are as follows: referring to women's smoking, making a girl or boy friend on the Internet, dancing in
club, drinking alcohol, the relation of a married man with a girl, the relation of a married woman with a man,
and using phrases like "spend one night together" or "have a passionate love affair", teenage traveling to
other countries with the opposite sex friend, talking about their problems with their boy or girlfriends, girls'
going home from bar at midnight and drinking.
Book 2 and 3 also contain taboo topics such as dating, dancing, and living with girlfriend. Apart from the
reading texts, the pictures included in these books can be against our system of values; pictures such as that
of a woman swimming in a bikini, a girl and a boy kissing each other, or women in such clothes which are
generally taboo in our countries.
As it was mentioned earlier, the Inner circle countries were the focus of the reading texts, excluding
Australia. It may show that although the authors try to refer to other countries and cultures, they are still likely
to be in favor of British and American culture. Asian culture is mostly restricted to that of Japanese especially
their food and Islamic culture is ignored. African culture has no considerable reference, except for one text
which is about difficulty of living. Some other countries may also have been mentioned negatively. For
instance in two texts, the people who lived in Norway talked about leaving the country. But many people are
going to the USA to work or live (e.g., p.28, Book 2). Naming USA sightseeing and the films produced in the
USA also can be in their favor too. There are also some general texts which are culturally neutral and cannot
belong to only one culture (e.g., p.79, Book 1).
Therefore, these books might be able to claim they take a lot of countries and cultures into account, but
they cannot claim they are appropriate in all countries such as Iran. By teaching these kinds of books the
unacceptable topics may become common ones and gradually start to become a part of our culture
regardless of their positive or negative effect.
The researcher believes that the authors of English textbooks should consider religious issues in their
materials development. They can also prepare different textbooks for different geographical areas. Despite,
teachers should be aware of cross-cultural issues and inform their students of the differences and teach them
to compare and contrast the cultures in a way that can enable them to appreciate their own culture, not just
get fascinated by the foreign culture.

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The Interaction of Lexical and Grammatical Aspects in English as a Foreign
Language for Iranian Farsi Speaking Learners

Reza Pishghadam


Sima Ziaei


Doi: 10.5901/mjss.2012.03.01.149

Abstract This study aims to investigate the claims of Aspect Hypothesis which holds that in the past tense, perfective verbs
precede imperfective verbs, having a different pattern of acquisition based on their lexical aspect, i.e., learners initiate using
perfective past marks from the prototypical verbs which contain the achievement and accomplishment lexical aspects, while they
start using imperfective past marks from the verbs whose lexical aspects are stative and activity. In this study, ten Iranian (from
Mashhad) Farsi speaking learners of English were given a film to watch and retell the story in impersonal narrative in past tense.
The verbs which they applied were classified into 4 lexical aspect categories with different semantic features like telicity,
durativity, and dynamicity; these categories include: state, achievement, accomplishment and activity. The results suggest that
atelic verbs like state and activity verbs were easier for the students to produce in past perfect and the atelic durative verbs-
activities- were produced with higher accuracy in past imperfective.

Keywords: Aspect Hypothesis, grammatical aspect, lexical aspect, perfective past tense, imperfective past tense.

1. Introduction

The sequence of tense-aspect morphology in acquisition has been claimed to follow a universal pattern in
both first and second language acquisition which still needs testing against non-Indo European languages
(Shirai & Kurono, 1998). Studies in Aspect Hypothesis (AH) have been carried out in acquisition of both first
and second languages (e.g., Mishina-Mori, 2000; Wagner, 2001; Shirai & Kurono, 1998).
AH states four claims as follows:
1. Learners start using perfective past marks from achievements and accomplishments and then extend it to
activities and statives.
2. Imperfective past precedes perfective past in the languages which encode this distinction, and it begins
with stative form of verbs extending to activities, accomplishments and achievements respectively.
3. In languages encoding progressive aspect, progressive marking follows this pattern: activities,
accomplishments, and achievements.
4. There is no wrong overextension of progressive markings to statives (Haznedar, 2007; Gabriele,
Martohardjono, & McClure, 2005; Shirai, 1991, cited in Bardovi-Harlig, 2002).
These claims are rooted in prototype theory (Rosch, 1973 cited in Gabriele, Martohardjono, & McClure,
2005). Based on this theory, children and second language learners acquire language by starting with
prototype of each category which share several characteristics with other members of that category
(Gabriele, Martohardjono, & McClure, 2005). Most theories of tense and aspect introduce two sorts of aspect:
lexical and grammatical (Li, 2000). As Johnson and Fay (2006) said several studies have shown a co-
occurrence between lexical and grammatical aspects (e.g. Li & Shirai, 2000).
The aim of the present study is to analyze the verbs Farsi speaking learners used in their film retelling to
examine the relationship between lexical and grammatical aspects of the verb morphology performed by

150
them to see whether lexical aspect influences accuracy with which learners produce grammatical
morphology. In other words, the aim of the present study is to investigate the type of verbs which are more
prototypical for the Farsi speaking learners of English.

2. Theoretical Background

In the following paragraphs, we will review the notions related to AH and the interaction between lexical and
grammatical aspects. This review contains the claims and the predictions of this hypothesis and the
definitions given for each aspect in addition to the results of some previous studies.
One of the aspects mentioned in AH is grammatical aspect which refers to especial viewpoints of
particular situations (Li, 2000). It is "a system for classifying utterances according to the perspective or
viewpoint that convey to the listener" (Comrie, 1976 & Smith, 1997, cited in Johnson & Fey, 2006, p.421).
Therefore, whether a sentence presents an ongoing or completed action is a matter of grammatical aspect
(Li, 2000). In English, bounded or perfective aspect focuses on the activity from outside which has a
beginning and an ending, while unbounded or imperfective aspect looks at the event from the inside with no
specific beginning or ending which is encoded with 'be' as the auxiliary verb and ing which follows the main
verb. In English, perfective is unmarked or prototypical. 'She was eating an apple' and 'She ate an apple' can
show the imperfective and the perfective respectively (Bardovi-Harlig, 2000; Johnson & Fey, 2006; Potowski,
2005; Wagner, 2001).
Among the studies in the realm of AH, Brown (1973) is one of the pioneers that scrutinized English as
children's first language (Haznedar, 2007). He perceived that progressive aspect marker -ing- was the first
morpheme appeared in children's language, in addition, they started past perfect verbs with punctual [-
durative] verbs such as fell. In 1980s and 1990s, the relation between lexical and grammatical aspect of
second language went under research as well. In one of these studies, Andersen (1991) construed past
perfect as the forerunner (Haznedar, 2007).
Gabriele, Martohardjono, and McClure (2005) also carried out research on Japanese learners of
English and found out that even advanced students had difficulty interpreting the past imperfective but they
had a little difficulty with the past perfect. Apart from the verb type, past progressive verbs seemed to be
more difficult for the learners.
The other sort of aspect is lexical aspect which concerns the inherent meaning of verbs (Li, 2000). It is
"a system for classifying utterances into categories based on temporal properties of situations referred to by
lexical items in sentences" (Johnson & Fey, 2006, p.420). These properties are shown in Table 1 which as Li
(2000) said has originally been taken from the best known system- Vendler's (1967) model. This model was
first used in 1989 and since then has been adopted by many L2 researchers (Rohd, 1996). In this model the
temporal features are described as it follows: a situation which is dynamic is described by [+dynamic], but a
static situation which is not dynamic is shown by [-dynamic]. [telic] shows whether the situation ends to a
change of location or state, and [durative] reveals whether or not a situation takes times and energy to
happen (Haznedar, 2007; Rohde, 1996; Smith, 1997, cited in Johnson & Fay, 2006).

Table 1. Lexical Aspect Categories

Category Features
State [-dynamic][-telic][-durative]
Activity [+dynamic][-telic][+durative]
Accomplishment [+dynamic][+telic][+durative]
Achievement [+dynamic][+telic][durative]


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These lexical categories can be defined as follows:
1. Achievement: happens suddenly and can be reduced to a single moment (e.g., die)
2. Accomplishment: has duration and an endpoint (e.g., build a house)
3. Activity: has duration but no endpoint (e.g., walk)
4. State: is not dynamic and does not need additional energy to carry on (e.g., want)
(Li, 2000; Haznedar, 2007; Shirai & Kurono, 1998).

Andersen and Shirai (1994, 1996) stated that learning tense-aspect morphology initiates with the prototype,
i.e., with achievements (telic) for perfective, and activities (atelic) for imperfective. Shirai and Kurono (1998)
performed two experiments to detect the tense-aspect morphology in learners of Japanese as their second
language (JSL). In their first experiment, they used "conversational data" to see the relation between lexical
and grammatical aspect and in the second experiment, they carried out research to examine the learners'
development of knowledge in Japanese markers via an "acceptability judgment test" (p.250). In their first
experiment, the non-natives (NNs) proved a consistent result with AH, since AH predicts "learners are least
likely to inflect states for past" (p.260). Their results revealed that 33% of the verbs uttered by natives (Ns)
were states while only 10% of the NNs' verbs included state verbs. For achievement verbs the percentages
are 54% and 78% for Ns and NNs respectively, and for durative imperfective, 37% and 55% of the verbs
were included in durative imperfective category by Ns and NNs respectively. In fact, the learners' verbal
morphology was restricted to AH prediction, i.e., they used more achievements in their past marks and more
activity verbs in their imperfective marks. In this experiment, it was proved that JSL learners followed AH. It
means they used ta which is the achievement mark to use past and -ta i- which is the activity mark to use
imperfective. In this research, NNs used more activity verbs in progressive, while Ns used more
achievements. It may mean prototype could be influenced by L1, instruction, or by sequence of teaching.
Therefore, sometimes AH might be rejected as it was in Rohde's (1996) research which resulted in
correlation of progressive verbs with achievements, not activity verbs. This could be an evidence to reject AH
as a universal pattern (Shirai & Kurono, 1998). Also Mishina-Mori (2000) who devoted his study to reviewing
some studies such as Rispoli (1981) reported that his findings do not support AH in past imperfective marks.
Wagner (2001) conducted two experiments on children acquisition and she also found little support for
AH in first language. She concluded that when the past events are not complete, children do not understand
them well.
To justify the rejection of AH, Gabriele, Martohardjono, and McClure (2005) demanded more studies to
be done on the acquisition of aspect.
However, they themselves did not prove the transfer of L1. Shirai (2007) referred to Lardiere (2003)
and stated that there are some differences between learners' and natives' speech, and AH lack enough
attention to L1. In fact, when a learner produces a verb like "walk", it is not obvious whether he has the same
semantic feature in his mind as the native speaker. Generally, second language learners bring a fully
developed set of 'features' for organizing tense and/or aspect" (p.58).
Moreover, in a study by Johnson and Fey (2006) which adopted the imitation method, the activity verbs
were not proved to be produced more accurate in past imperfective, but it was constant with the other studies
which state accomplishment or achievement verbs are produced more accurate than activity verbs in past
perfect.
Sugaya and Shirai (2007) investigated the effect of L1 on learning the imperfective aspects of Japanese.
They employed two methods: acceptability judgment and oral picture description. In the first method,
imperfective markers of Japanese reveal a strong association with activity verbs for lower proficiency
learners. However, the second method did not support the AH, and it might show the role of L1. Chen and
Shirai (2010) also found a deviation from AH in their study which revealed the early use of statives with
perfective marker.


152
3. Purpose of the Present Study

The present study aims to detect the relation between lexical and grammatical aspects in English learning by
adult Iranian Farsi speaking learners. In order to achieve this goal, the current study addresses the following
questions:
Q1. Do Farsi speaking English learners perform past perfective more correctly than past imperfective?
Q2. Do Farsi speaking English learners use past perfective marking on achievements and accomplishments,
which are telic, more correctly than activities and statives, which are atelic?
Q3. Do Farsi speaking English learners use past imperfective marking on statives and activities, which are
atelic, more correctly than accomplishment and achievements, which are telic?

4. Methodology

4.1 Participants

A total of 10 Iranian adult English learners (female=5, male=5) participated in this study, all studying at
university. The age of the participants ranged from 20 to 26 who were living in Mashhad, a city in Iran. The
main criterion for participation was that all the students had been placed at the first level of Panel Discussion
in a language college-Azaran College. This level was selected since the students at this level are expected to
have basic information about the English grammar, particularly past perfect and imperfect. The learners who
participated in this study were volunteers. It means the researchers- with the help of teachers- announced
that this activity would bring extra scores for their final exam, and in this way encouraged the students to
collaborate.

4.2 Instrumentation

To record the data, an audio tape recorder was used in a class where only one of the researchers and one
of the participants were present. The CDs of the cartoon Shrek III had already been given to the volunteer
students, so that they could watch it at home. This cartoon was selected because when the researchers
came out with the idea of this study, it had not been widely available yet and many students like the ones in
our study had not seen it.
Therefore, the participants had no idea about the plots and theme before they saw it. In fact, if they had
seen it, they might have avoided seeing it again and the factor of forgetting the plot might have affected the
way they retold the story.
A list of questions for detecting the inherent aspect was adopted and modified from Chen and Shirai
(2010) and Shirai and kurono (1998) which were used for L1 Mandarin Chinese and L2 Japanese
respectively. They are composed of a few questions to identify the inherent lexical aspect. The modified
version of the test is in Appendix.
In SLA, narrative frame is the most widely used type of texts in the studies of tense-aspect hypothesis
(Bardovi-Harlig, 2002). Two types of narration, personal and impersonal narrations exhibit more depth of
background and foreground respectively; in other words, they elicit more imperfective and perfective tenses
respectively (comajoan, 2001 cited in Bardovi-Harlig, 2002). The narrative frame selected for this study is the
personal one which is believed to show higher rates of use of verbal morphology in comparison with
impersonal one. This claim has been proved in different studies for different languages like Comajoan (2001)
for Catalan language (Bardovi-Harlig, 2002). Another reason to select narrative type is that as mentioned
earlier AH claimed that imperfective past appears later than perfective past, that is, it must be more difficult
for the learners and according to Gabriele, Martohardjono, and McClure (2005) past imperfective is more
difficult for the learners to produce, and since personal narration which contains more background clauses,

153
can elicit more imperfective verbs, the researchers decided to provide the learners with a situation in which
producing imperfective past is facilitated.

4.3 Design and Procedure

The process of data collection started in November (2009) and continued until February (2010). All the
participants were given the cartoon Shrek III to watch at home. The Panel Discussion classes were held
twice a week, so each session, one of the researchers went to the language college and recorded one of the
students' story telling for the maximum of 15 minutes, either before or after the class started, in an empty
class with the presence of one of the volunteer learners. According to Bardovi-Harlig (2002) the students took
the role of a protagonist who was Shrek in this story. So students put themselves in his shoes and told the
story in the first person perspective in past tense. Bardovi-Harlig (2002) also believed that description is
another way of eliciting the background; therefore, at the beginning or the end of their retelling, the students
described three characters of the story as well.
For the purpose of analyzing the data, the researchers transcribed all the stories which had been retold
by the students. Then, the verbs were underlined and classified into past perfective and past imperfective.
After that each verb in past perfective and past imperfective were grouped under the four semantic
categories (state, activity, accomplishment and achievement). Chi-square was run to compare the verb
morphology uttered by the learners in both perfective and imperfective marks.

5. Results

Table 2. The results of Chi-square for the verbs produced by learners in perfective

Observed N Expected N df 2 Sig.
State 334 202.5 3 216.07 .000
Activity 251 202.5 3
Accomplishment 49 202.5 3
Achievement 176 202.5 3
Total 810

As it is illustrated in Table 2, there is a significant difference between activity, accomplishment and
achievement verbs in perfective ( =216.07, p<.05, p<.01). Statives (N=334) and activities (N=251) are
more often that expected (202.5). This implies that students use state and activity verbs in past perfect more
than achievement and accomplishment. The most frequent verb used in stative form was the forms of be and
the most frequent activity verb was came.
state>activity>achievement/accomplishment

Table 3. The results of Chi-square for the verbs produced by learners in imperfective

Observed N Expected N df 2 Sig
State 24 24.66 3 69.72 .000
Activity 50 24.66 3
Accomplishment 0 24.66 3
Achievement 3 24.66 3
Total 77


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Table 3 reports the results of the Chi-square for the different categories of verbs in past imperfect ( =69.72,
p<.05, p<.01). As it can be seen in this table, there is a significant difference between them. Activity verbs
(N=50) was the only category appeared more than expected (N=24.66). This implies that students could
perform imperfective marks with activity verbs. But the other categories especially accomplishments revealed
weakness in performance. The most frequent activity verb in past imperfective was be+going.
activity>state/achievement/accomplishment

6. Discussion

The goal put forward by this study was to examine the relation between lexical and grammatical morphology
in English past tense used by adult Iranian learners in order to perceive which classes of verbs and which
semantic features are used more frequently in their story telling. In other words, this study aimed to find the
prototypical verbs in Iranian Farsi speaking English learners' use of perfective and imperfective past tense
which were elicited in a personal film narration.
With regard to the results of this study and since our first question can be answered in affirmative,
agreeing with the outcomes in other studies (e.g., Gabriele, Matohardjono, & McClure, 2005), we may
conclude the learners produced past perfective more correctly than past imperfective. This can be in line with
the idea of Universal Grammar (UG) that most learners such as the ones in our study or those in Andersen's
(1991, cited in Haznedar, 2007) or in Gabriele, Martohardjono, and McClure's (2005) tend to use past
perfective more easily than past imperfective. L1 can be an effective factor as well, as Shirai and Kurono
(1998) revealed dissimilarity between natives and non-natives in using lexical aspects. However, such a
claim demands another study on Farsi acquisition of verbs to discover if Farsi, as the first language, follows
the same or a different pattern; if it follows the same pattern, the idea of L1 transfer can be taken into
account.
As regards the second question, we can come up with the conclusion that Farsi speaking English
learners use past perfective marking on states which is in line with Chen and Shirai `s (2010) findings; and
activities, which are atelic, are used more than accomplishments and achievements. Therefore telicity can
be the stipulating factor to predict which category of verbs is produced frequently. This finding can be
diverging from AH's prediction and some studies such as that of Johnson and Fay (2006) which concluded
higher accuracy of producing accomplishments than producing activities, or from that of Li (2000) that found
association between perfective verbs and telic verbs. Again, we might construe it as the role of L1 in tense-
aspect morphology, in other words as Shirai and Kurono (1998) stated it reveals that the AH may not be
universal and factors such as L1 and teaching materials might be influential.
The results agreeing with Rohd (2000) also suggest that Farsi speaking English learners use past
imperfective marking with higher accuracy on activities [-telic]. However, in this study there is no significant
difference among the other categories.
To sum up, the results of this study, constant with some other studies such as Chen and Shirai (2010),
which worked on children, proved a deviation from AH's prediction, since they also proved more accurate use
of statives with past markers. The results seem to imply that telicity could be considered a feature which can
facilitate generating past perfective and imperfective verbs. But it seems in past imperfective verbs between
two atelic categories, state and activity, the one which is also durative- activity- is better performed.
Therefore, teachers are expected start teaching imperfective past with activity verbs which are atelic and
durative and had better put off teaching accomplishments in this tense. But since accomplishments are a part
of language, they cannot be ignored entirely. Hence, teachers at upper levels should exclusively concentrate
on them because at these levels students are expected to be good enough at other categories and they are
ready to be exposed to more difficult ones. In most English course books such as Interchange and American
English File, the order for teaching verbs in past tense is based on their regularity; it means the verbs with
regular forms of past tense are presented earlier. It could be useful and acceptable, but it would be better if

155
the matter of telicity and other semantic features were considered as well. For instance, it could be better if
the verbs like be or believe, which are statives, and verbs like 'play' and 'use the computer', which are
activities, are presented earlier in past perfective and imperfective respectively, whereas verbs such as
'build', which is accomplishment, should be presented later in both past perfective and imperfective.
This study was carried out on the oral proficiency of some Iranian learners. The same study could be
done on the writing skill to detect the different categories of verbs used in writing. The comparison can also
be done to see whether there is any difference between oral and written use of verbs. Different levels can be
considered in such a study as well. That is, it is a good idea to investigate the impact of different levels of
proficiency on using different categories of verbs. In addition, such a study can set out to examine the AH in
learning Farsi language as the first language of Iranian children in order to see the differences between the
acquisition of different aspects in L1 and L2.

References

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241). New York: Academis Press
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Appendix

Tests for Inherent Aspects

Step 1. State or Non-State?
-Can it refer to present state in simple present without a habitual present interpretation?
If yes State (e.g., I love you)
If no Non-state (e.g., I eat rice every day)
If Non-state, go to the next step.
Step 2. Activity or Non-Activity?
-If you stop in the middle of the action, does that entail that you did the action?
If yes Activity (e.g., run)
If no Non-activity (e.g., run a race)
-Can you say "X will VP for Y time" (e.g., 10 min)?
If yes Activity (e.g., He coughed for 10 minutes)
If no Non-activity
If Non-activity, go to the next step.
Step 3. Accomplishment or Achievement?
-Can you say X started V but did not complete it?
If yes Accomplishment (e.g., He almost ran to the school)
If no Achievement (e.g., He noticed the picture)


157

Engagement and Stance in Academic Writing:
A Study of English and Persian Research Articles

Saeed Taki

Shahreza Branch, Islamic Azad University, IRAN
Taki@iaush.ac.ir

Fatemeh Jafarpour

Shahreza Branch, Islamic Azad University, IRAN

Doi: 10.5901/mjss.2012.03.01.157

Abstract Written texts of any kind embody some interactions between writers and their potential readers. This study focused on
academic writing to find about linguistic features used by writers to create such interactions. Following Hylands (2005) model of
interaction in which stance and engagement are introduced as two discoursal features having an effective role in constructing
writer-reader interactions, this study aimed at investigating the ways in which English and Persian academics express their
position to discover the strategies used to bring readers to their writing. To this end, 120 English and Persian research articles in
two disciplines of Chemistry and Sociology were analyzed for the purposes of cross-linguistic and cross-disciplinary comparison.
The results demonstrated that the writers of both disciplines, especially the sociologists, considered the expression of stance
and engagement markers in their writing important. However, in sociology articles there was a greater effort to interact with
readers. Further, in Persian there seemed to be more cases of readers involvement.

Keywords: academic writing, discoursal features, stance, engagement, disciplinary differences;

1. Introduction

Over the last decades, academic writing has undergone a great change such that it is no longer thought of as
an objective, faceless and impersonal form of writing, rather it is considered as an endeavor on the part of
writers aiming to initiate some interaction with their readers (Hyland, 2005). In other words, producing good
academic writing demands not only writers linguistic ability but also their awareness of rhetorical features
accepted by readers. Academic writing is, in fact, seen as transformation of knowledge, a process through
which the writer brings the readers to an understanding of his works value and significance (Tarry, 2005).
Academic writing is not just a linguistic process; it is a socio-political process in which writers, as the owners
of power, try to be acknowledged and recognized by the social community they write for (Casanave, 2003).
To accomplish this task, writers employ different strategies to express their identity in writing.
As Hyland (2010) puts it, we are really no more supposed to think of academic writing as completely
author evacuated, but instead, as consisting of exact evaluations and interactions (p.116). He, furthermore,
refers to research articles as sites where writers are not just offering their viewpoints, but also attempting to
negotiate some relations with those who will possibly read these products. Looking at the issue from this
perspective, Hyland (2010) leads us to the idea of interpersonality in academic writing, which is concerned
with the ways through which writers make use of the explicit system of meanings to enter their voice into the
texts to be heard by their readers. To achieve this goal, writers should actually be well aware of the norms of
the community they are writing for.
Thus, like any other mode of communication, there is a textual interaction between the writer and
readers in the process of academic writing. The theoretical foundation informing the explication of such a
writer-reader interaction is Hallidays (1978, 1985) classification of three macro-functions of language:
ideational, interpersonal, and textual. Based on this classification, Vande Kopple (1985) differentiates

158
between the ideational function, on the one hand, and the interpersonal and textual functions, on the other,
with the former being achieved through primary discourse and the latter through metadiscourse. According
to Cheng and Steffensen (1996), interpersonal metadiscourse serves the function of developing writer-
reader relationship.

2. A Model of Interaction in Academic Writing

Hyland (2005) has presented a working model to expound the interaction between writers and readers. He
maintains that the purpose of writing is not only producing some texts or explaining an external reality, but
also constructing and negotiating social relations with the readers. According to this model, the interaction in
academic writing mainly involves two major elements of stance and engagement.

As can be seen in the figure above, writers attempt to project their position in the texts through the following
elements:
1. Hedges
2. Boosters
3. Attitude Markers
4. Self- mention

In addition to expressing their positions in what they write, writers are also required to bring the potential
readers into their text. As Hyland (2005) explains, writers can involve the readers in their writing by making
use of one or more of these five elements:
1. Reader pronouns
2. Personal Asides
3. Appeals to shared knowledge
4. Directives
5. Questions

Over the past years, researchers have referred to the issue of stance using different names such as
evaluation (Hunston, 1994; Hunston & Thompson, 2000), intensity (Labov, 1984), affect (Ochs, 1989),
evidentiality (Chafe, 1986; Chafe & Nichols, 1986), hedging (Holmes, 1988; Hyland, 1996a&b), and stance
(Barton, 1993; Beach & Anson, 1992; Biber & Finegan 1988, 1989; Biber, Johansson, Leech, & Conrad,
1999; Conrad & Biber, 2000). Although researchers have used different names, they all have actually
followed the same goal. They aimed to investigate the ways in which writers and speakers project their
personal feelings and judgments in what they produce.

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Considering the importance of acquiring the skill of writing a good abstract for journal articles, Phuong
(2008) has analyzed the rhetorical moves and authors stance in 30 abstracts of journal articles. Together
with introducing five major moves present in the abstract section of these articles, Phuong (2008) provides a
list of those linguistic features that help the authors indicate their stance in their writing. Grammatical
subjects, verb tenses and aspects, voice, modal auxiliaries and semi-modal verbs, self-reference words,
attitudinal adjectives, reporting verbs are some items included in this list.
Biber (2006) in a study of stance, as a discoursal element, examined university registers within both
speech and writing. This study restricted itself just to grammatical features specifically adverbials and
complement clauses aiming to come up with different ways of expression of stance by means of various
grammatical features. It was found that adverbials express the attitude or assessment of the speaker or
writer with respect to the proposition in the matrix clause while in the complement clauses, the matrix clause
verbs express a stance with respect to the proposition in the complement clause. Finally, his findings confirm
the view, held by previous studies, that stance should be necessarily expressed in all university registers.
But, when it comes to the comparison between written and spoken registers, the study surprisingly suggests
that the expression of stance in written registers is rare and more restricted in meaning than in their spoken
counterparts. Readers engagement, with its key role in shaping effective writing, has also been the focus of
researchers attention in recent years. As Hyland (2005) asserts academic research articles are interactive
with the authors making their readers actively involved in the communication process. Based on a framework
of engagement which he has developed, Hyland (2005) focused on a total corpus of 64 project reports
written by a group of final-year Hong Kong undergraduates to explore the ways in which these participants try
to show the readers presence in their writings so as to establish relationship with them. Also, the researcher
compared students products and professional academics practices to show how these writers purposes
determine the construction of the readers in their works. The findings of the study suggest that contrary to
what is often depicted, academic writing is not an impersonal monologue, but it contains many dialogic
interactions. Finally, distinguishing such engagement devices as reader pronouns, asides, and references to
shared knowledge from directives and questions Hyland (2005) concludes that the former devices are used
to draw on the shared goals between the writers and readers and, thereby to bring the reader into the
discourse as a fellow disciplinary member.

3. The Present Study

Following Hyland's (2005) model of interaction, the present study has focused on a detailed analysis of
linguistic features occurring in two different Persian academic disciplines to find out to what extent they are
similar to their English counterparts. To put it simply, this study aimed to investigate whether or not Persian
and English academics make use of the same discoursal elements for creating interaction with their readers.
Specifically, the following research questions were addressed:
1. Do Persian as well as English writers of Sociology and Chemistry articles make use of stance and
engagement markers to interact with their readers?
2. Do academic writing practices in two disciplines of Sociology and Chemistry show any differences in these
two languages?

4. Method

4.1. Corpus

A total number of 120 research articles from two broad fields of Chemistry and Sociology in two languages of
Persian and English constituted the corpus of this study. Chemistry and Sociology were chosen as
representatives of two different fields of Natural and Social Sciences. The idea was to study possible cross-

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disciplinary differences in terms of writer-reader interactions in the domain of academic writing. For English
articles, two leading international publications, SAGE, and SCIENCE DIRECT, with a quite large number of
journals, were referred to. From among online journals existing in the fields of Chemistry and Sociology,
European Polymer Journal, Arabian Journal of Chemistry, and Polymer together with journals of Sociology,
Cultural Sociology, and Teaching Sociology were used as the source of research articles.
As for the Persian language, data was collected from four Iranian journals: from Quarterly Journal of
Communication Research and Quarterly Journal of Cultural Research 30 Persian research articles in the field
of Sociology were selected and from Journal of Science and Polymer Technology and Journal of SIAU 30
Persian articles in the field of Chemistry were chosen (See Table 1).

Table 1. General Information about the English and Persian Corpus

Corpus Discipline No. of Articles No. of Words Publication Date
Sociology 30 122000
English
Chemistry 30 88033
2008-2010
Sociology 30 121261
Persian
Chemistry 30 92038
2009-2011

As shown in Table 1, both Persian and English materials of the study were chosen from articles published
recently and over a short period of time. Considering that research articles as academic genres would
undergo changes through longer periods of time (Kim, 2009), this decision was made.
Another issue of concern is the choice of the topics of research articles. The corpus of the study
covered a variety of issues in both Sociology and Chemistry, and no specific topics were selected. This was
based on the fact that the conventions of the register as some interpersonal aspects of the discourse are not
directly influenced by the topics of the texts (Kim, 2009).

4.2. Procedure

First, a list of potentially interactive markers in both Persian and English was prepared. In providing such a
list, the researcher heavily relied on the previous research into interactive features (e.g. Biber & Finegan,
1989; Hyland, 1999/ 2000; Hyland, 2005; Hyland, 2008; Lewin, 2005; Abdi, 2002; Kim, 2009).
Regarding the text analysis of both English and Persian articles, one considerable point needs to be
mentioned. Unlike some previous studies focusing their analysis on just one section of the articles like
Brenton's (1996) study of conference abstracts or Swales' (1990) project on introductions in this study all
parts of the articles were examined. As Hyland (2005) observes, just considering the happening of stance
and engagement markers in just Introduction and Discussion as subjective and author-centered sections of
the article seems unwise. In the next stage, Wordsmith 2003, a text analysis and concordance program, was
used to find the exact number of the occurrence of each item of stance and engagement markers in the
articles based on the two lists produced in the previous section. 30% of the corpus was also double-checked
by a scholar in the field to guarantee the reliability of the results. The results were found to have a correlation
coefficient of 0.86 in the case of English and Persian articles of chemistry while this figure was 0.88 for their
counterparts in the field of sociology.

4.3. Data Analysis

4.3.1. Stance Markers

In the following sentences some examples of stance markers are presented to illustrate the interaction
between the writer and readers. The examples show how academic writers make use of hedges in order to

161
manage their uncertainty towards a proposition in a text:

English: While it may still be used in art theory, it is almost absent in the human and social sciences.
Persian: Shaayad zamaani een tafaavothaa mani-ye xod raa az dast bedahand.(Maybe sometime these
differences lose their meaning)

On the contrary, the next following examples show how English and Persian writers, through boosters, create
some opportunities to express both their certainty in what they say and their solidarity with the audience:

English: In short, whatever the quality of our article might have been, we certainly seemed to have touched a
nerve.
Persian: Qatan modiraan-e raadio baraay-e bahregiree az een emkaanaat..(Definitely, for the radio
managers to exploit these opportunities.. )

By incorporating into their writing some attitude markers carrying with themselves different meanings of
surprise, agreement, importance, and frustration, academic writers make use of another discoursal element
to show the stance they take towards some proposition. Also, by referring to some shared values, these
writers attempt to bring their readers to an agreement with themselves. Consider these examples:

English: It is to some extent surprising that someone who has been critical of the exclusive use of survey
evidence in the sociology of stratification (Crompton, 2008) should now be so keen to endorse its centrality.
Persian: az aanjaa ke motaesefaane barnaame saazaan-e raadio saalhaast..(since unfortunately radio
program developers for years..

The technique of using first person pronouns and possessive adjectives, self-mention, is another device
through which academics can project themselves in their texts. The following sentences will clarify the point:

English: In order to functionalize the P1-core, we have followed the literature procedures
Persian: Dar een pazhoohesh pazhooheshgar dar naqsh-e modeer talaash mikonad.(In this study, the
researcher as a manager is trying..)

4.3.2. Engagement Markers

The first and, perhaps, the most explicit device through which writers can accompany the readers in the
process of writing and create a dialogue with them is reader pronouns. Here are some examples to show
how writers give their audiences a sense of membership:

English: Let us take a well-known example: nowadays, no Anglo-American bibliography in our
disciplines
Persian: az een roo laazem ast be estefaadee az raveshhaay-e keifeetaree rooy aavarim taa een emkaan
raa biyaabeem(so it is necessary that we seek more qualitative approaches so that we can..)

Sometimes, writers make very brief interruptions to offer a comment on assertions they have made. These
intentional interruptions are referred to as personal asides.

English: Conversely, the variously bonded variants of ODPA give a rather complex signal pattern in mostly
linear polymers (showing that all possibilities of reacting are probably used) whereas one group of signals
(17, 19, 20)and thus one bonding form gets prominence under higher branching.

162
Persian: az sooye resaanehaay-e raqeeb naagozeer be estefaadeh az hameen resaanehaa baraaye
afzayesh-e kaaraayee va moxaatab ast (ke xod noee forsat-e tallayee beshomaar miravad). ( due to the rival
media there is no other choice but to use the same media to increase productivity and viewers (which is a
golden opportunity itself)

Presupposing that their potential readers share some certain values and ideas with them, writers of academic
texts make use of some explicit markers to focus their readers attention on those shared knowledge, and
thereby bring them to an agreement with themselves (see examples 1 through 3, for more clarification):

English: We know the structuralist trend of the 1960s, developed by the anthropologist Lvi-Strauss, the
psychoanalyst Lacan, the philosopher Foucault..
Persian: sargozasht-e keshvar-e zhaapon shaayad mesaal-e xoobee baashad. Hamegaan baavar daarand
zhaapon ke emrooz-e be yekee az keshvarhaaye..(the history of Japan is a good example. People all
believe that Japan today is one of the countries..)

When possible, academic writers take the role of a teacher to give their readers some instructions enabling
them to perform an action in the way they suggest. Through such directives, writers invite their audiences to
either refer to some other part in the same article or take some moments thinking about what they are asked
so as to finally come up with a certain outcome:

English: Consider, for instance, why you are turning the pages of this book at all why you have decided to
study sociology. . .
Persian: tavajoh daashte baasheed ke besyaari az film haay-e toleed shod-e(be aware that most movies
produced..)

Academics can also think of questions so as to both arouse their audiences curiosity and encourage them to
follow the argument to the end:

English: Should the sociologist focus on major arts, because they are considered as such by the actors and
as a result of such perceptions play important roles in society?
Persian: Aayaa resaanehaa baa modiriyat-e bohraan hamraah xaahand shod? (Will the media accompany
the management of crisis?)

5. Results

The analysis of 120 research articles demonstrated that the expression of stance and engagement features
was of great importance in academic writing, with 110 occurrences in each English sociology article, 23
cases in each English chemistry article, 112 ones in each Persian sociology article, and finally 32
occurrences in each Persian chemistry article. Put differently, there was one case in every 37 words in
English sociology articles; one in every125 words in English chemistry papers; one in every 35 words in
Persian sociology articles and one in every 94 words in Persian chemistry papers.
Considering this outcome, the present study is in line with findings of the previous projects on the issue
(e.g. Hyland, 2005a; Hyland, 2005b; Abdi, 2002; Hyland, 2010), all emphasizing the inclusion of stance and
engagement markers in research articles of different academic fields of study.
As long as the comparison between the two disciplines is concerned, in both languages, the Sociology
rather than Chemistry academics were found to attempt more to interact with their potential readers by
including a greater number of stance and engagement markers mostly through hedges and attitude markers
(see Table 2). This is due to the fact that, as Abdi (2002), Hyland (2005), and Hyland (2010) observe, in

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producing writing of social sciences, writers have more freedom to accompany the texts with their personal
feelings and emotions than in natural sciences where the writers are only reporting some scientific facts.

Table 2. Stance and Engagement Features in Persian and English Research Articles of Chemistry and
Sociology (Per 1000 word).

Chemistry

Sociology

Features

English Persian English Persian
Stance 6 9.1 18.7 23.6
Hedges 2.4 2.5 11.5 5.7
Boosters 0.9 1.2 1.9 1.6
Attitude mkrs 1.8 5.3 3.7 16.2
Self mention 0.9 0.1 1.6 0.1
Engagement 1.5 1.1 7.9 3.9
Reader ref 0.3 0.1 2.9 1.1
Asides 1 0.9 2.4 2
Directives 0.9 0.1 1.1 0.2
Question 0 0.04 1 0.5
Shared knowledge 0.2 0 0.5 0.1
Total 7.5 10.2 26.6 27.5

Among the nine elements under the study, hedge was found as the most frequently occurring item in all
English articles, especially Sociology, which is in line with the findings of Bank (1994), Mayer (1994) and
Lewin (2005). This outcome reflects the necessity of distinguishing facts from opinions in social sciences on
the part of English academics when talking about their achieved outcome. Regarding this element, we can
refer to Abdis (2002) study of interpersonal metadiscourse in which he found writers of social rather than
natural sciences to make use of hedges more frequently. The fewer occurrences of hedges in Chemistry
articles can be justified considering the nature of natural academic writing which allows more certainty on the
part of writers reporting some empirical phenomena. However, in Persian, attitude markers were found to be
employed most frequently in both Chemistry and Sociology with the latter showing a greater frequency.
Regarding other stance and engagement markers, no case of questions and shared knowledge was
found in both English and Persian Chemistry articles, while Sociology academics made use of, at least, a few
number of these engagement features. Academics of both fields of study, however, did not show
considerable differences in their use of directives, and sociologists used only a few cases of such
engagement devices in their articles. It should be mentioned that, generally, the frequency of directives was
not that great in the whole corpus of the study.
Also, writers of both fields of study were found to employ almost an equal number of boosters, as
another stance marker, in their articles. Finally, as for personal asides both fields of study showed a very
close number of occurrences in the research articles (see Table 2).
With regard to the total number of occurrences of both stance and engagement markers in the English
and Persian articles of Sociology and Chemistry (see Table 2), it can be concluded that in the field of
Chemistry, Persian academics use of interactive features (10.2) overwhelms their English counterparts
(7.5), while in Sociology writings, the two groups of writers were found to attempt almost equally in order to
interact with their readers (26.6 in Persian and 27.5 in English).
As for cross-linguistic comparison, in the case of reader pronouns and self-mentions English and

164
Persian languages showed some differences. For the purpose of involving the readers in their writing, unlike
English writers who confined themselves to the use of subject and object pronouns together with possessive
adjectives, Persian academics were found to show their commitment with the readers through both reader
pronouns and verb inflections. Self-mentions, as a stance marker, were not found to be used in the Persian
articles in the same way as their English counterparts. While English writers mention of themselves was
through their use of first person pronouns (subject or object) and sometimes possessive adjectives, Persian
academics were found to talk about themselves only in few cases and through words with the meaning of the
researcher. However, all in all, confirming findings of the previous studies (Hyland, 2002; Kuo, 1999; Tang &
John, 1999), here English academics of both fields of study were found to consider the use of self- mentions
important. This difference indicates that unlike English writers aiming to make an argument stronger through
their use of first person pronouns, Persian academics seek to highlight the phenomena under discussion
rather than themselves.
In order to see whether the two disciplines or the two languages were different in terms of stance and
engagement and whether the difference was significant, the Chi-square was employed. Tables 3 through 6
show the results:

Table 3. Chi-Square Results in English and Persian Chemistry Research Articles

Language Observed N Expected N Residual
English
Persian
Total
8
10
18
9.0
9.0
-1.0
1.0

As shown in Table 3, the Chi-square (_
2
= .222) is not statistically significant( p=0.637) which indicates that
English and Iranian academics writing practices are not different from each other in the field of Chemistry.

Table 4. Chi-Square Results in English and Persian Sociology Research Articles

Language Observed N Expected N Residual
English
Persian
Total
27
28
55
27.5
27.5
-0.5
.5

Again the Chi-square in Table 4 is not statistically significant (_
2
=.018, p=0.893). Then, in the field of
Sociology, too, the two groups of academic writers do not show significant differences.

_
2
df p
.222 1 .637
_
2
df p
.018 1 .893

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Table 5. Chi-Square Results in English Sociology and Chemistry Research Articles

Disciplines Observed N Expected N Residual
Chemistry
Sociology
Total
8
27
35
17.5
17.5
-9.5
9.5

According to Table 5, English writers have shown a significant difference in terms of their use of stance and
engagement markers in two fields of Sociology and Chemistry (_
2
= 10.31, p= .001).

Table 6. Chi-Square Results in Persian Sociology and Chemistry Research Articles

Disciplines Observed N Expected N Residual
Chemistry
Sociology
Total
10
28
38
19.0
19.0
-9.0
9.0

As Table 6 shows, in the case of Persian corpus, academic writers also were found to show significant
differences when writing research articles in two fields of Sociology and Chemistry (_
2
=8.52, p=.004). All in
all, in both languages, it was the sociologists who made a greater use of interactive features in their
academic writing. In sum, according to Table 7, in all cases reported, stance markers show a greater
percentage of occurrence (89.2% as the highest in Persian Chemistry articles) as compared with
engagement markers which have their highest figure of 29.7% in English Sociology articles.

_
2
df p
10.314 1 .001
_
2
df p
8.526 1 .004

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Table7. Stance and Engagement Frequency of Occurrences in English and Persian Academic Writing
(Chemistry and Sociology)

6. Discussion and Conclusions

The results of the study, as related to the use of engagement and stance markers in English and Persian in
both Chemistry and Sociology, are in line with findings of the previous projects on the issue (Hyland, 2005a;
Hyland, 2005b; Abdi, 2002; Hyland, 2010). The results show the importance of stance and engagement
expressions in academic writings. The importance of including these interaction markers, in comparison with
other common discoursal features, is well understood, especially when we look at Biber et al.s (1999) in
which passive voice constructions were reported to be used less frequently than stance and engagement
markers.
In line with Hylands (2005) model of interaction, it was also observed that stance markers occurred five
times more frequently than engagement markers. Both Sociology and Chemistry articles in the two
languages have shown greater frequency of stance rather than engagement features.
As for cross-linguistic differences, among the nine elements under the study, hedges were found as
the most frequently occurring item (similar to Bank, 1994; Salager-Mayer, 1994; and Lewin, 2005) in all
English articles, especially Sociology. This outcome reflects the necessity of distinguishing facts from opinion
on the part of English academics when discussing their achieved outcome. Regarding this element, we can
refer to Abdis (2002) study of interpersonal metadiscourse, in which he found writers of Social rather than
Natural sciences to make use of hedges more frequently. This fewer occurrences of hedges in Chemistry
articles can be justified considering the nature of natural academic writing which allows more certainty on the
part of writers reporting some empirical phenomena.
In the Persian research articles again stance markers, but this time attitude marker, were found to
show themselves most of all, suggesting that Persian academic writers let a great deal of feeling (emotion,
surprise, importance, frustration, etc) in their writing.
Another interesting outcome is the case of reader pronouns, as an engagement feature, for which
English and Persian languages showed some differences. Unlike English which confines its references to the
subject and object pronouns together with possessive adjectives, the Persian language makes it possible for
its users to show their committeemen with the readers through verb inflections. It should be mentioned that

167
regarding references in the English corpus, the present study found the highest frequency in the case of
inclusive pronouns we and our rather than you and your. This finding is also in line with Hylands (2005) study
which reports the appearance of You pronouns only in philosophy but We in almost all other fields of study.
The results related to self-mentions, as a stance marker, as reported above suggest that unlike English
writers aiming to make an argument stronger through their use of first person pronouns, Persian academics
seek to highlight the phenomena under discussion rather than themselves. However, all in all, confirming
findings of the previous studies(Hyland, 2002; Kuo, 1999; Tang & John, 1999), here English academics of
both fields of study were found to consider the use of self- mentions as an important stance marker.
As for cross-disciplinary comparison, in both languages it was the Sociology rather than Chemistry
academics that attempted more to interact with their potential readers by including a greater number of
stance and engagement markers. This is due to the fact that as Abdi (2002), Hyland (2005), and Hyland
(2010) maintain, in Social sciences writers have more freedom to incorporate into the texts their personal
feelings and emotions than in Natural sciences in which its writers are only reporting some scientific facts.
The findings of the study can help the Persian academic writers who need to publish their articles in
English journals. Being aware of similarities and differences between English and Persian research articles,
Persian academic writers would produce better articles which meet the standards of English journals. This
implication of the study reminds us of Kaplans(1987) belief that foreign students of a language are required
to form standards of judgment according to the system of a target language.

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169

Translation Process in Rendering Source Language Spoken Words or Phrases to Target
Language Items: Semantic or Communicative Approach

Ali Eskandari

English Department, Faculty of Foreign Languages
University of Isfahan, Isfahan, Iran
Email: alieskandari86@yahoo.com Tel: +98-9133816370

Ehsan Panahbar

English Department, Faculty of Foreign Languages
University of Isfahan,Isfahan, Iran
Tel: +989386490303

Doi: 10.5901/mjss.2012.03.01.169

Abstract This paper discusses the translation of spoken words and phrases from English to Persian. Verbal communication is
one of the aspects of culture, translation of which really matters in intercultural studies. So, in order to evaluate the efficacy of
this transfer from source language to target language, we take Newmarks communicative and semantic approach. To conduct
this research, 10 MA students of translation studies are picked and asked to translate 25 sentences each of which contains
spoken words or phrases. Based on Newmark, sentences should be rendered into target language communicatively and
participants rendered only 31% of the items communicatively.

Keywords: degrees of difficulty, grammatical ambiguity, lexical ambiguity, communicative translation, semantic translation

1. Introduction

Nowadays, in our world of international communication, there are different elements which are transferred
between societies, one of which is culture. According to Longman dictionary of Contemporary English, culture
means the beliefs, way of life, art, and customs that are shared and accepted by people in a particular
society. We can consider language as one aspect of culture too. This means that a language is cast in the
culture of a society. It is heavily influenced and takes shape by customs, beliefs and lifestyle of a given
society. As Cote puts it: language determines the way a person views the world (1998, p.21). Regarding this
fact, there is no doubt that there are lexical items, idioms and expressions that have been made up according
to each society culture and social values. This point was covered in some articles.
Just to provide some examples, Park tries to consider the problem of metaphor in literary translations
into Korean. He believes that the translator should do his best to retain the metaphor in target text as well,
contending it is not always possible to render it as much identical to the original one, though. He suggests
that in these cases, where semantic translation is in vain, the translator ought to be after equivalence (2009,
p.155). In another study, Davies deals with the various translations of culture-specific items in J. K. Rowling
Harry Potter books. In this research, the researcher tries to single out translation strategies adopted by the
translators and efficacy of them. She suggests that it will be more viable if we take into consideration these
culture-specific items in whole rather than covering them one by one; the approach that in her opinion will
contribute to the development of the whole text (2003, p.65). Fernandes takes the translation of names in
childrens fantasy literature as his research topic. In this research, he, at first, provides a definition for names,
aiming to clarify the meaning each name conveys. And finally he proposes ten translation strategies in the
process of rendering names from source language to target language (2006, p.44).
As we know, translation is a process of decoding and encoding. It means that the translator is obliged

170
to provide a crystal clear translation for target language readers, for whom the meaning of original is opaque.
In other words, he is supposed to have a good command of source language and target language to be able
to decode the source text and encode it in the new system, target language. But this ambiguity in the
composition of translated text cannot be accounted in terms of readers background knowledge; rather it is
justifiable in terms of the translators command of both source and target language. Newmark also believes
that one of the difficulties a translator has to weather with is the concept of ambiguity.

1.1 Ambiguity

Newmark defines ambiguity as a stretch of SL text, normally word or syntactic structure, having apparently
more than one meaning. (1988, pp. 218,219) According to his definition, there are seven kinds of ambiguity:
- Grammatical ambiguity. When the style or manner of composition of a text is not well-formed, it causes
syntactic ambiguity, which is quite common in English too. According to Newmark, it is possible to clarify a
text, if the context is informative.
- Lexical ambiguity Because of the nature of language, especially English, one word can denote to one or
more meanings, depending on its context. And this point makes the act of translation mush more arduous.
- Pragmatic ambiguity As Newmark (1988:219) puts it: pragmatic ambiguity arises when the tone or the
emphasis in an SL sentence is not clear. And it surfaces most of the time in written texts, because of the
lack of immediate and instant clarification.
- Cultural ambiguity It refers to cases where a cultural feature does not hold water anymore and assumes
a new function.
- Idiological ambiguity It points out this fact that the word or expression a person use with a particular
meaning, is based on his own interpretation or the way he perceives that very word, not its dictionary
meaning.
- Referential meaning It surfaces in cases that use of a word makes us to come up with two or more
meanings, like spring which simultaneously prompts more than one meaning. In such cases, we have to
look back the text to figure out the main sense.
- Metaphorical meaning And finally, this refers to metaphorical expressions, conjuring up different images
in readers mind. Newmark puts forth that in translating them, it is preferable to render the most probable
sense.

1.2 Degrees of Difficulty

Another aspect we should focus on, is determining aspects of difficulty. By aspect of difficulty, we mean
which dimension of language impedes the process of rendering between source language and target
language. According to Newmark the chief difficulties in translating are lexical, not grammatical, i.e. words,
collocations and fixed phrases or idioms (1988, p.32). Accordingly he believes that difficulties are of two
kinds: a) you dont understand them; b) you find them hard to translate. If you cant understand a word, it
may be because all possible meanings are not known to you, or because its meaning is determined by its
unusual collocation or a reference elsewhere in the text (Newmark 1988, p.33). So we should keep a
watchful eye, try to find out what causes the translator to have difficulty translating lexical items. In other
word, we should be after elements, somehow impeding the process of transfer. ZiaHossieni believes that
there are five of them and calls them degrees of difficulty. These degrees of difficulty are:
- Transfer It is about sounds, lexical items or structures that are similar in the two languages.
- Coalescence It happens when two or more items in the native language converge into one item in target
language.
- Underdifferentiation It points out that the equivalence of an item in the native language is absent in the
foreign language.

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- Reinterpretation It refers to the cases where an item exists in both native and target languages and
learners would overgenerlize it.
- Overdifferentiation ZiaHosseini believes this happen when an item in the foreign language is absent in
the native language.
Split It pops up when an item in the native language diverges into two or more items in the target
language. (Ziahosseini, 1999, pp.14, 15).
Regarding aforementioned points about ambiguity and degrees of difficulty, this research tries to find out the
translation strategies, each translator takes use of. This research chooses spoken words or phrases as its
research topic and keeps a watchful eye on the process of rendering. Although a lot of topics have been
chosen and consequently been explored and scrutinized, as far as the researchers knows, spoken words or
phrases which falls within the realm of communication has not been taken care of. The researcher believes
that spoken words and phrases in English carry meaning much more than they do in Persian. Beside that
fact, there are cases that some of them have no equivalence in Persian, as well. It seems that there are no
crystal-clear spoken words and phrases in Persian that would suit their corresponding items in English. So in
spite of this difficulty, there are strategies we can take as our touchstone in evaluating the quality of
translations made. In so doing, we can use Newmark semantic and communicative approach. Newmark
believes that communicative translation attempts to produce on its readers an effect as close as possible to
that obtained on the readers of original and semantic translation attempts to render the exact contextual
meaning of the original(1988, p.39).

Figure1. Schematic representation of semantic and communicative translations

Source language bias Target language bias
Literal Free

Faithful idiomatic

Semantic/Communicative

2. Methodology

In order to do this research, 10 MA students in translation studies at Isfahan University were picked. These
participants have passed specialized courses in translation including literary translation, economic and
political translation and interpretations. So they are considered qualified and eligible to conduct this research
on. After picking them, about 25 sentences handed over to them and they were asked to translate them. The
sentences comprise highlighted words or phrases all of which are being used in verbal communication. They
were allowed to use dictionaries and World Wide Web to figure out what each word or phrase means.
Regarding the fact that none of these words are translated and provided in English-Persian dictionaries, they
were obliged to render them in their own term.


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3. Results

After collecting the data, spoken words and phrases were examined and analyzed. By doing so, at first we
intended to know that whether they have a good command of source language and if they do, whether they
can render it appropriately into Persian. After evaluating their capabilities in understanding source language
and target language, it was time to take a thorough look at the way they translated the highlighted items.
After setting Newmarks model of semantic and communicative rendering as the touchstone, so the
researcher went through each sentence one by one to identify the strategies used. The following tables show
the data related to our aim. The items included in the first table are translated sentences, mistranslated items
and not translated ones. According to the data, participants translated 63.2% of the items correctly; about
30.8% of items were mistranslated and about 6% were not translated at all. The second table is about
communicative and semantic items being translated in the text. Surprisingly participants translated 31.6% of
the items semantically and about the same percent communicatively.

Table1. Total frequency of items translated

participantes
response
items No
Translated items Mistranslated items Not translated items
1 9 1 ___
2 5 5 ____
3 8 2 ____
4 4 4 2
5 4 5 1
6 3 7 ____
7 8 2 ____
8 4 3 3
9 9 1 ____
10 8 1 1
11 8 2 ___
12 10 ____ ____
13 9 1 ____
14 8 2 ____
15 3 6 1
16 3 7 ____
17 8 2 ____
18 7 3 ____
19 10 ____ ____
20 5 5 ____
21 5 4 1
22 5 3 2
23 8 1 1
24 3 5 2
25 4 5 1
Total frequencies 158 77 15 250
Percentage 63.2% 30.8% 6% 100%


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Table2. Total frequency and percentage of communicative and semantic translation strategies

participantes
strategies
items No
Communicative
strategy
Semantic
strategy
Mistranslated
items
Not translated
items
1 6 3 1 ___
2 4 1 5 ____
3 8 ____ 2 ____
4 2 2 4 2
5 4 ____ 5 1
6 2 1 7 ____
7 ____ 8 2 ____
8 3 1 3 3
9 2 7 1 ____
10 6 2 1 1
11 4 4 2 ___
12 6 4 ____ ____
13 2 7 1 ____
14 1 7 2 ____
15 2 1 6 1
16 1 2 7 ____
17 ____ 8 2 ____
18 ____ 7 3 ____
19 8 2 ____ ____
20 3 2 5 ____
21 4 1 4 1
22 4 1 3 2
23 1 7 1 1
24 3 ___ 5 2
25 3 1 5 1
Total frequencies 79 79 77 15 250
Percentage 31.6% 31.6% 30.8% 6% 100%

4. Discussion

As the tables show, the results are surprising. This study was conducted on MA students of translation
studies and most of them have got BA in translation too. So it would be reasonable to look forward to a better
performance. By looking at the percentage of mistranslated items and those ones which are not translated, it
is obvious that as much as the other two categories, semantic and communicative translation, there are
sentences the participants were ignorant of, being unable to understand sentences appropriately to render
them into Persian acceptably.
Another aspect, we should cast a look upon, is the aim this research was after. As it was said in
advance, translation of spoken words and phrases is the primary end of this paper. Needless to say that
verbal communication also mirrors the culture of a language too. Bearing that in mind, Newmark also
mentions that semantic translation remains within the original culture and assists the reader only in its
connotations and communicative translation addresses itself solely to the second reader, who does not
anticipate difficulties or obscurities (1988, p.39), in other words he prefers to have an easily graspable

174
stretches of word in his own language and in our case an easily comprehensible verbal communication. The
very task that seems the participants did not succeed in achieving it. In the following lines some examples will
be provided which show in what cases the participants managed to translate communicatively and in what
other cases they failed to do so.
The first ones we are going to consider are these two which most of the participants neither translated
them nor translated them appropriately.

(a) There is intelligence for you! She solved the problem already.
(b) Well, there is gratitude for you. She didnt even say thank you.

For (b), one of participants used {khob} meaning well which is completely irrelevant, and another one
used this {inam ghadrdani} literally means here is for gratitude which is really opaque.
But some other translated them very well, like this translation which stands for (a), {inghad bahooshe ke
moshkel ra kheili zod hal mikone. Yad begir!} . which literally
means he is so smart that solve that problem quickly. Learn from her . This translation really stands out vis-
-vis other ones provided for (a). In another case, the performance of one of participant was really disastrous.
This participant translated 15 sentences out of 25 wrong, here are some his.

(c)There! Ive done that. Ive resigned.
" . . ". { Onja. Tamam shod. Estefa dadam.}
The Persian rendering literally means there, it just finished. I resigned.

(d)There, there, dont get so upset.
" ". {Onja, onja nakon va inghadr ham deltangi nakon }
Its Persian rendering literally means, Dont say there and stop missing him.

(e) There she goes again, complaining about the weather.
" ". {Baz rafte onja va az ab va hava shekayat karde ast.}
Persian rendering of this one literally means she has gone there to complain about the weather.
Interestingly, for (d) a participant provided this: {Bashe, bashe, inghadr narahat
nasho}, which means Ok, fine, dont get so upset. This sentence, based on Longman definition,
communicatively suits the English phrase. Another participant chose the Persian equivalence of shush and
wrote in the answer sheet {shush} .
Astonishingly, while analyzing the data, I came across an answer sheet in which seven out of twenty-
five sentences have been left out unanswered. The very participant mistranslated four other. Apparently, the
participants did not have a very good command of English. And finally there is one more item for which
participants provided really odd translation, without even knowing what that sentence means. Here is the
example: Dont come the poor struggling artist with me. Youre just lazy. While Longman dictionary defines it
as: used to tell someone not to pretend that they are something they are not in order to get sympathy, some
participants chose these sentences to stand for that
{ Ey honarmande faghire badbakht, ba man naya} " " which literally means you
are such a poor and miserable artist, stop following me, and the other one is
. {intor nist ke az pase kar natoni bar biai, faghat tanbali}, which literally means Of course,
you can handle this problem, you are just lazy.


175
5. Conclusion

As far as the researchers know, spoken words and phrase are much more common in movies and needless
to say in everyday conversations. So it is of utmost importance to have them transferred meticulously and
communicatively. If we want to get to know other nations culture, we should have, first of all, a very good
command of source language and consequently target language, as well. Lets put it in this way that as we
know, translation is seen as part of intercultural studies, the very field that accounts for human beings need of
communication. If we do not know each others cultures, then how it will be possible to communicate to each
other. Furthermore, it is the language that gives us our viewpoint of life. And the way we view our life is part
of culture. Generally speaking, if we are about to know each others culture, one possible solution lies in the
studying the verbal communication of the nations. To be able to understand that verbal culture with ease is
the task of translator.
Another pertinent field we can touch upon is in dubbing. Needless to say, almost all the movies dubbed
in our country, are originally in English and laden with spoken words and phrases. So to have well-dubbed
movies necessitates good rendering of the movie. This is exactly the task that put too much pressure on the
translator. By going through English departments curriculum, one immediately can see that interpretation is
taught in our universities too. As it talks itself, interpretation is about oral communication and as a result,
spoken words fall within it. It seems that the purposes of this course have not been met. Maybe it is time to
pay much more attention to interpretation courses in our universities.

References

Cote, M. (1985). Language reflects culture. Saskatchewan Indian, 21-23 Retrieved June 17, 2009, from
http://www.sicc.sk.ca/saskindian.
Davies, E, E. (2003). A goblin or a dirty nose? The treatment of culture-specific references in translations of the Harry Potter books. The
Translator, 9, 65-100.
Farhady, H. (2007). Research methods in applied linguistics. Tehran: Payame Noor University.
Fernandes, L. (2006). Translation of names in childrens fantasy literature: bringing the young reader into play. New Voices in
Translation, 2, 44-57
Newmark, P. (1981). Approaches to translation. Oxford: Pergamon.
Newmark, p. (1988). A textbook of translation. Longman: London.
Munday, J. (2001). Introducing translation studies. London: Routledge
Park, O. (2009). The issue of metaphor in literary translation: focusing on the analysis of a short story translation. Journal of Language &
Translation ,10-1, 155-175
Summers, D, et al. (2003). Longman dictionary of contemporary English. Essex: Pearson education limited
Williams, J., & Chesterman, A. (2002). The map. Manchester: St. Jerome Publishing.
Ziahosseyni, M. (2006). A contrastive analysis of Persian and English and error analysis. Tehran: Nashre vira.


177

Readability of Texts: Human Evaluation Versus Computer Index

Pooneh Heydari

Department of Foreign Languages,
Shiraz Branch, Islamic Azad University, Shiraz, Iran.

A. Mehdi Riazi

Macquarie University, Australia.

Doi: 10.5901/mjss.2012.03.01.177

Abstract This paper reports a study which aimed at exploring if there is any difference between the evaluation of EFL expert
readers and computer-based evaluation of English text difficulty. 43 participants including university EFL instructors and
graduate students read 10 different English passages and completed a Likert-type scale on their perception of the different
components of text difficulty. On the other hand, the same 10 English texts were fed into Word Program and Flesch Readability
index of the texts were calculated. Then comparisons were made to see if readers' evaluation of texts were the same or different
from the calculated ones. Results of the study revealed significant differences between participants' evaluation of text difficulty
and the Flesch Readability index of the texts. Findings also indicated that there was no significant difference between EFL
instructors and graduate students evaluation of the text difficulty. The findings of the study imply that while readability formulas
are valuable measures for evaluating level of text difficulty, they should be used cautiously. Further research seems necessary
to check the validity of the readability formulas and the findings of the present study.

Keywords: text Readability; readability formula; validity of readability formulas; Flesch Reading Ease Readability Formula.

1. Introduction

How easy or difficult is it to read a text? How clearly does a text express ideas and emotions? These
questions are inextricably bound up with the concept of readability (Bailin & Grafstein, 2001). According to
Richards, et al. (1992, p. 306), readability means: "how easily written materials can be read and understood.
This depends on several factors including the average length of sentences, the number of new words
contained, and the grammatical complexity of the language used in a passage." Other definitions have been
proposed for readability (see, e.g., Dale & Chall, 1949; McLaghlin, 1969).
Procedures used to measure readability are known as readability formulas. Today, there are more than
40 different readability formulas used to measure readability, but some of them are better known and more
popular than the others. Perhaps, the most common and the most publicized readability formula was the one
credited to Rudolph Flesch (1948). The popularity of his formula made Flesch a leading authority on
readability.
Flesch Reading Ease Readability Formula (1948) has also been incorporated and installed in Microsoft
Office Word. A text in word can be checked for its spelling and grammar, as well as its readability level.
Readability index is based on the average number of syllables per word and words per sentence. Flesch
Reading Ease Readability Formula rates texts on a 100-point scalethe higher the score, the easier it is to
understand the text. The Flesch Reading Ease Readability Formula is usually defined by the following
formula (Flesch, 1948):
206.835 (1.015 ASL) (84.6 ASW)
Where, ASL is the Average Sentence Length (the number of words divided by the number of sentences), and
ASW is the Average of Syllables per Word (the number of syllables divided by the number of words). DuBay
(2004) provides interpretation of the Flesch Reading Ease Score as indicated in Table 1.

178
Table 1: Description and predicted reading grade for Flesch Reading Ease Score (DuBay, 2004)

Estimated Percentage of U.S.
Adults
Predicted Reading Grade Description Reading Ease Score
4.5% college graduate very difficult 0-30

33% college grade difficult 30-40

54% 10
th
-12
th
grade fairly difficult 50-60

83% 8
th
-9
th
grade standard 60-70

88% 7
th
grade fairly easy 70-80

91% 6
th
grade easy 80-90

93% 5
th
grade very easy 90-100

It is not clear why the 40-50 range is left out in DuBays table. The next section presents a review of the
background on the text readability.

2. Review of the Readability of the Texts

The first strand of studies on readability present different readability formulas devised to measure the
readability of texts (Flesch, 1948; Dale-Chall, 1948 cited in DuBay, 2004; Gunning, 1952; Fry, 1968;
McLaughlin, 1969; Flesch-Kincaid Formula, 1975 cited in Greenfield, 1999). In fact, the earliest investigations
of readability were conducted by asking students, librarians, and teachers what seemed to make texts
readable. Such studies led to the development of mathematical formulas. Today, readability evaluation of the
texts is calculated by computer programs. As such, most grammar or editing software programs can
determine the readability level of the written materials.
The second group of studies on readability deals with the application of the readability formulas.
Readability formulas have had a wide range of applications. Indeed, they were originally created for testing
the readability level of school textbooks (Serevin & Tankard, 1992 cited in Balachandran, 1997). Fry (1986, p.
1) pointed out that "articles on the readability formulas are among the most frequently cited articles of all
types of educational research." The applications give researchers an objective means for controlling the
difficulty of passages in their experiments (DuBay, 2004). Today, readability formulas can be applied to
anything from textbooks to government documents and they are more popular than ever. Some of such
applications are as follows: (educational system: Kennedy, 1979; Reed, 1988; mass media including
newspapers: Lostutter, 1949; Fusaro & Conover, 1983; newsletters: Balachandran, 1997; wire services:
Catalano, 1990; brochures: Christ & Pharr, 1980; websites: Baker, Wilson, & Kars, 1997; Graber, Roller, &
Kaeble, 1999; manuals: Stahl, Henk, & Eilers, 1995; TV programs: Vancura, 1955; and court actions and
legislation: DuBay, 2004). Moreover, there are readability formulas for Spanish, French, Dutch, Swedish,
Russian, Hebrew, Hindi, Chinese, Korean (see Rabin, 1988 cited in DuBay, 2004), and Farsi (Dayyani,
1993). The formulas have survived 80 years of intensive application, investigation, and controversy with both
their credentials and limitations remaining intact.
The third group of studies discusses the pros and cons views toward the use of readability formulas.
Such studies mostly deal with a closer examination of the formulas' underlying principles (Kirkwood & Wolfe,
1980; Bertram & Newman, 1981; Frase, Rubin, Starr, & Plung, 1981; Bailin & Grafstein, 2001), the concept of

179
their validity and appropriateness for either native or second language learners (Froese, 1971; Hamsik, 1984;
Brown, 1998; Greenfield, 1999; Rezaei, 2000; Ardoin, Suldo, Witt, Aldrich, & McDonald, 2005), the
discrepancy between the scores of different formulas (Chen, 1986; DuBay, 2004) , and so forth. Such studies
help readers to become familiar with the background of the formulas, the theory on which they stand, what
they are good for and what they are not.
If any conclusion is possible to draw from the hodge-podge of studies done on readability formulas, it is
that there are two opposite views toward the use of them. Both of these two views have been advocated by
different researchers and there is enough empirical evidence for each to be true. Thus, it can be declared
openly that the formulas have both advantages and disadvantages.
Advantages of using readability formulas:
1. By definition, readability formulas measure the grade-level readers must have to read a given text.
The results from using readability formulas provide the writer of the text with much needed
information to reach his target audience.
2. Readability formulas do not require the readers to first go through the text to decide if the text is
too hard or too easy to read. By readability formulas, one can know ahead of time if his readers
can understand the material. This can save time, money and energy.
3. Readability formulas are text-based formulas; many researchers and readers find them easy to
use.
4. Today, readability formulas can be performed by computer. As such, most grammar or editing
software today can determine the readability level of written materials.
5. Readability formulas help writers convert their written material into plain language.

Disadvantages of using readability formulas:
1. Unfortunately, readability formulas are not of much help if one wants to know how well the target
audience understands the text.
2. Due to many readability formulas, there is an increasing chance of getting wide variation in results
of a same text.
3. Readability formulas cannot measure the context, prior knowledge, interest level, difficulty of
concept, or coherence of text.
Indeed, it is a particular propitious moment to re-examine the use of readability formulas as a measure of
reading difficulty. This abundance of research by itself is the material proof for the significance of the topic
under study. Of course, this fact necessitates further research in this area, and the present study was set up
to this end.

3. The Objectives

This study aimed at helping EFL educators and practitioners to make more objective decisions about how to
go about selecting, revising, teaching, and evaluating EFL texts by evaluating the readability formulas and
correlating standard indexes with the indices obtained by several other means like students self-assessment
of texts and expertise rating. Revisiting the concept of EFL text-readability formulas, the consequent related
issues in the EFL reading skill such as reliability and validity, plus the scarcity of research in this area for EFL
learners constitute the significance of the scope of this study.
The following questions are to be answered through this study:
1. Is there any difference between EFL expert readers evaluation of text-readability and computer-
based readability index?
2. Is there any difference between the two groups of expert readers (EFL instructors and EFL
graduate students) evaluation of text-readability?


180
4. Method

4.1 .Participants

This study was conducted with an overall number of 43 participants. Eight of these participants were male
EFL professors and instructors at a major university in Iran. The other 35 were selected from among
graduate students studying different EFL-related majors at two universities. The participants were chosen
using convenient sampling procedure.

4.2. Materials and Procedures

First, 10 reading passages were selected from the book of Patterns: A Short Prose Reader, 5
th
Edition
(Conlin, 1998), a reading text-book for EFL students studying at the advanced level of reading/writing
courses locally. This book contains 95 passages collected from authentic samples of American prose from a
wide and diverse pool of writers including statesmen, professional authors, educators, and practitioners. The
10 chosen passages had different characteristics in terms of text-content, type, genre, organization, and
readability indexthe factors which are internal to reading texts. They also had different methods of
development including cause and effect, comparison and contrast, description, process, classification and
division, narration, and definition.
Before the study and as a pilot study, a number of readers similar to participants of the study were asked
to read all of the 10 selected passages. Based on the feedback obtained from them, it was found that the
number of texts was demanding and time consuming for the participants. Therefore, based on the Flesch
Rank Order, the 10 passages were divided up into two sets; each set containing five passages of different
readability index. The two sets were relatively equal in terms of readability index; 56.1 and 56.6, respectively.
Table 2 presents the texts in each set along with Flesch score and rank order for each of the texts.

Table 2: Readability Score and Rank Order of the Passages Using Flesch Reading Ease Readability
Formula
Set Rank Order Flesch Score Passage
A 8 31.2 1
B 3 73.7 2
A 4 63.7 3
A 4 63.7 4
B 9 28.71 5
B 5 53.9 6
B 1 78.2 7
A 7 46.4 8
B 6 48.6 9
A 2 75.5 10


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4.3. Instrument

A questionnaire aimed at tapping responses from the participants on the elements making up text-readability
of the 10 passages using Likert-scale was devised (see Appendix B). Reviewing the literature on readability,
11 most effective factors operating on reading difficulty were chosen as the items of the questionnaire.
Different experts have taken these eleven factors into account as active elements in assessing reading
difficulty of the texts.
Since the items have been suggested by reputable authorities of the field, the content validity of the
questionnaire is taken for granted. The factors are as follows:
1. Word familiarity: Flesch (1948), Dale & Chall (1948 cited in DuBay, 2004), Gunning (1952), Fry
(1968), McLaughlin (1969), Bailin & Grafstein (2001),
2. Word frequency: Thorndike (1921), Lively & Pressey (1923), Klare (1968), Chall & Dale (1995),
Graesser et al. (2004),
3. Topic and content familiarity: Chang (2006), Pulido (2007), Combs (2008),
4. Sentence length: Kitson (1921), Flesch (1948), Dale & Chall (1948 cited in DuBay, 2004), Gunning
(1952), Fry (1968), McLaughlin (1969), Catalano (1990),
5. Pronoun density: Graesser et al. (2004),
6. Number of ambiguous words: Padak (1993), Graesser et al. (2004),
7. Syntactic complexity: Padak (1993), Bailin & Grafstein (2001), Graesser et al. (2004),
8. Concreteness: Graesser et al. (2004),
9. Imageability: Graesser et al. (2004),
10. Concept clarity: Bertram & Newman (1981), Padak (1993), Graesser et al. (2004), and
11. Time: DuBay (2004)
Attempts were also made to ensure that the items are understandable to the participants. The reliability of the
questionnaire using the data from the participants was calculated using internal consistency through
Cronbach's alpha and was found to be 0.78.

4.4. Data Collection Procedures

For the first part of the study, the participants were randomly divided into two groups: the first group including
four experts (EFL professors) and 18 graduate students who received the first set of passages (Set A), and
the second group including four experts and 17 graduate students received the second set (Set B).
Participants were asked to provide feedback on text characteristics, particularly text-readability, difficulty
rank-order, and the like by filling out the questionnaire. The completed questionnaires were collected for
analysis. On the other hand, all the 10 texts were fed into Microsoft Office Word and the readability level of
the passages were calculated.

4.5. Data Analysis Procedures

The data were analyzed through appropriate statistical procedures including one-sample t-test and Mann-
Whitney U test.
For the first research question of the study investigating if there was any difference between EFL expert
reades evaluation of text-readability level and computer-based readability index, a one-sample t-test was run.
Also, to find out if there was any difference between EFL experts' and EFL students' evaluation of text-
readability, the non-parametric Mann-Whitney U-test was used which is the equivalent statistical test for the
parametric independent sample t-test. Mann-Whitney U-test was used since the number of participants was
low.


182

Table 3 presents the descriptive statistics of the two sets of passages as evaluated by the participants
including both experts and graduate students and the readability indices of the texts as presented in Table 2.

Table 3. Descriptive statistics of the texts based on Flesch and participants' evaluation

Texts Mean (participants) SD Mean (Flesch RI)
(Set A)1
3
4
8
10
56
87
66
56
86
15.5
16
16
17
17
31.2
63.7
63.7
46.4
75.5
(Set B)2
5
6
7
9
57
61.5
60
72
61
19.5
17.2
20.6
18.9
16.2
73.7
28.71
53.9
78.2
48.6

Comparing the means, one can conclude that just in the case of passages 4, 6, and 7 they are close to each
other. However, they turned out to be quite far from each other in the case of other passages. To see if such
differences were significant or not, a t-test was run on each case. Table 4 shows the results of the
comparison between different evaluations.

Table 4. Results of the comparison between different evaluations

Text Mean (experts) Mean (Flesch RI) t value df Sig. (2-tailed)
1
2
3
4
5
6
7
8
9
10
56
57
87
66
61.5
60
72
56
61
86
31.2
73.7
63.7
63.7
28.71
53.9
78.2
46.4
48.6
75.5
7.476
-3.867
6.800
.661
8.730
1.348
-1.512
2.668
3.595
2.882
21
20
21
21
20
20
20
21
20
21
.000
.001
.000
.516
.000
.193
.146
.014
.002
.009

As this table shows, in 70% of the cases the differences between the two evaluations are significant. Only
three passages4, 6, and 7evaluations did not show any significant differences. In other words, teachers'
and students' evaluation of text-readability level and the computer-based evaluation of text-readability
through the use of Flesch Reading Ease Readability Formula were significantly different for seven passages.
For the second research question of the study, investigating if there was any difference between experts'
and postgraduate EFL students' evaluation of text-readability, a Mann-Whitney U test was run. Tables 5 and
6 present the descriptive statistics for the two sets of evaluations.


183
Table 5: Descriptive statistics for Set A

Text Participant N Mean Rank Sum of Ranks
Expert 1.00
4 14.00 56.00
Students 2.00
18 10.94 197.00
1

Total
22
Expert 1.00
4 7.50 30.00
Students 2.00
18 12.39 223.00
3

Total
22
Expert 1.00
4 9.38 37.50
Students 2.00
18 11.97 215.50
4

Total
22
Expert 1.00
4 11.63 46.50
Students 2.00
18 11.47 206.50
8

Total
22
Expert 1.00
4 8.50 34.00
Students 2.00
18 12.17 219.00
10

Total
22

Table 6. Descriptive statistics of Set B

Text Participant N Mean Rank Sum of Ranks
Expert 1.00
4 12.50 50.00
Students 2.00
17 10.65 181.00
2

Total
21
Expert 1.00
4 12.63 50.50
Students 2.00
17 10.62 180.50
5

Total
21
Expert 1.00
4 11.75 47.00
Students 2.00
17 10.82 184.00
6

Total
21
Expert 1.00
4 8.25 33.00
Students 2.00
17 11.65 198.00
7

Total
21
Expert 1.00
4 13.75 55.00
Students 2.00
17 10.35 176.00
9

Total
21


184
By virtue of the above tables, it is clear that the mean ranks of each passage obtained from the experts' and
students' evaluations are quite close to each other. Tables 7 and 8 show the results of the comparison.
Tables 7 and 8 present the results of Mann-Whitney U-tests.

Table 7. Mann-Whitney U test for Set A

Text1 Text3 Text4 Text8 Text10
Mann-Whitney U
26.000 20.000 27.500 35.500 24.000
Wilcoxon W
197.000 30.000 37.500 206.500 34.000
Z
-.851 -1.367 -.724 -.043 -1.022
Asymp. Sig. (2-tailed)
.395 .172 .469 .966 .307
Exact Sig. [2*(1-tailed
Sig.)]
.434(a) .195(a) .484(a) .967(a) .342(a)

Table 8. Mann-Whitney U test for Set B

Text 2 Text 5 Text 6 Text 7 Text 9
Mann-Whitney U
28.000 27.500 31.000 23.000 23.000
Wilcoxon W
181.000 180.500 184.000 33.000 176.000
Z
-.537 -.582 -.269 -.985 -.986
Asymp. Sig. (2-tailed)
.591 .560 .788 .325 .324
Exact Sig. [2*(1-tailed
Sig.)]
.635(a) .574(a) .829(a) .362(a) .362(a)

It can be seen that none of the significance levels was smaller than .05, so it is concluded that experts' and
EFL students' evaluations did not differ significantly in terms of their evaluation of text-readability level.
The first part of the current studys results is consistent with those of Froese (1971), Carrell (1987), Brown
(1998), Rezaei (2000), Ardoin, Suldo, Witt, Aldrich, and McDonald (2005), who attempted to re-evaluate the
validity of different readability formulas. These researchers studied the validity of readability formulas in
comparison to various independent criteria of reading difficulty such as cloze units, multiple-choice items, and
equivalent forms. All of them asserted that the formulas are not valid measures of the difficulty of the written
materials. Findings of the present study are in sharp contrast to Hamsik (1984), Fry (1989), and Greenfields'
(1999) who asserted that not only readability formulas can prove to be valuable tools for measuring the
difficulty of texts for native English speakers, but also they do measure the readability level of texts for EFL
learners.
The second goal of this study was to explore the differences between teachers' and students' evaluation
of text difficulty. As Tables 5 and 6 indicate, the mean ranks obtained for each passage from different
evaluations are quite close to each other and did not show to be significantly different. This finding is not, of
course, in line with Montgomery's (1985) findings, who reported no significant relationship between students'
and teachers' judgment of text difficulty.

6.Conclusions

This study was carried out to investigate the validity of the Flesch Reading Ease Readability Formula. Firstly,
the study investigated if there is any significant difference between instructors' and students' evaluation of

185
text difficulty and computer-based readability index which is based on Flesch formula. Results of t-test
suggested that there was a significant difference between the two indices for seven passages while no
significant results were found for three passages. The following table summarizes results of the first part of
the study.

Table 9. Summary of the findings of the first part of the study

Text
1 2 3 5 8 9 10
Participants evaluation of
the text difficulty
56 57 87 61.5 56 61 86
Level of difficulty easy easy very easy easy easy easy very easy
Readability index based
on Flesch formula
31.2 73.7 63.7 28.71 46.4 48.6 75.5
Level of readability difficult fairly easy standard very difficult -- -- fairly easy

As can be seen in Table 9, except for texts 2 and 10 which results might approximate each other, the other
five texts were evaluated differently by participants and by the Flesch formula.
On the other hand, since there were two groups of participants, namely, university instructors and
graduate students, we were interested to find out if the evaluation of these two groups in respect to the text
difficulty were different. As indicated in Tables 7 and 8 no significant difference was found meaning that
despite some differences between the two groups of the participants in terms of their reading English text
ability, their evaluation of text difficulty was not significantly different from each other.
The findings of the study have implications for materials and test developers. While further research is
needed to validate the findings of the present study, it can be suggested that decisions for text selection in
terms of text difficulty and readability are not based on readability formula per se. Human judgments are
needed to be considered as well.

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Appendices

187

Appendix A

Set A

Passage 1:

Cause and Effect
The Power of Place

Few places are as overly stimulating as the rush-hour subway, yet some of the less overtly jittery spots where we spend far more time
exact their tolls as well. As we move further into the postmodern age of information, the workplace is changing fast, causing occupational
safety specialists to focus on problems that would have seemed light-weight to their predecessors. Not long ago, for example, "industrial
fatigue" meant the hard-hat exhaustion of steelworkers and coal miners. Now it is just as likely to refer to the weariness, eyestrain, and
aches and pains of computer operators who spend long periods with poorly designed VDTs (video display terminals or computer
screens), desks, and chairs. Environmental psychologists have shown that the proper adjustment of a single element at a computer
station calls for pains-taking microanalysis. To evaluate the screen, for example, one must consider its height, tilt, and distance from the
operator, the size and clarity of its characters, and its brightness, glare, and flickering. Because its effects are often subtle, combined
with other irritants, and bother us after exposure ceases, trying to pinpoint an environmental stressor is difficult for the layman. As a
result, we often end up blaming its noxious influence on something else the project, the boss, or "stress" in general thus
perpetuating the dilemma.

Passage 3:

Description
The Quiet Odyssey

In Los Angeles in 1950, we found many minority women working in sewing factories making garments of every sort of fifty cents an hour,
eight hours a day. After several years, the wage went up to one dollar an hour. The sewing rooms were dirty and very dusty, with lint and
dust filling the air like fog. The rooms had no air conditioning and no windows. The dust settling on the heads of women made their hair
look gray by the end of the day. The loud power-driven sewing machines working at full speed all at once made a thundering noise that
deafened the ear. It was a frightful thing to listen to for eight hours every weekday. I tried it once for several months; the experience
made me admire all those women who endured it for years in order to send their children to colleges and universities. I have seen those
children return home as doctors, lawyers, and engineers, thus rewarding their parents for their sacrifices.

Passage 4:

Process
Like Water for Chocolate

At the entrance to the ranch Nicholas and Rosalio, in fancy charro costumes, were collecting invitations from the guests as they were
arriving. The invitations were beautiful. Alex and Esperanza had prepared them personally. The paper used for the invitations, the black
ink used to write them, the gold tint used on the edges of the envelopes, and the wax used to seal them all those were their pride and
joy. Everything had been prepared the traditional way, using the De la Garza family recipes. But they hadnt needed to prepare the black
ink, for enough remained from the ink that had been made for Pedro and Rosaura's wedding. It was dried ink; all that had to be done
was to add a little water and it was as good as new. The ink is made by mixing eight ounces of gum Arabic, five and a half ounces of
gall, four ounces of iron sulfate, two and a half ounces of logwood, and half an ounce of copper sulfate. To make the gold tint used on
the edges of the envelopes, take an ounce of orpiment and an ounce of rock crystal, finely ground. Stir these powders into five or six
well-beaten egg whites until the mixture is like water. And finally, the sealing wax is made by melting a pound of gum Arabic, half a
pound of benzoin, half a pound of calafonia, and a pound of vermilion.


188
Passage 8:

Classification and Division
Fans

The fight crowd is a beast that lurks in the darkness behind the fringe of white light shed over the first six rows by the incandescent atop
the ring, and is not to be trusted with pop bottles or other hardware. The tennis crowd is always preening and shushing itself. The golf
crowd is the most unwieldy and most sympathetic, and is the only horde given to mass production of that absurd noise written generally
as "tsk tsk tsk tsk," and made between tongue and teeth with head-waggings to denote extreme commiseration. The baseball crowd is
the most hysterical, the football crowd the best-natured and the polo crowd the most aristocratic. Racing crowd are the most restless,
wrestling crowd the most tolerant, and soccer crowd the most easily incitable to riot and disorder. Every sports crowd takes on the
characteristics of the individuals who compose it. Each has its particular note of hysteria, its own little cruelties, mannerism, and bad
mannerism, its own code of sportsmanship and its own method of expressing its emotions.

Passage 10:

Narration 2
Freedom

Two years ago, I attempt to escape from mainland China to Hong Kong. I planed and prepared well. I dressed up like a farmer and
walked for two days from my village to the border between China and Hong Kong. That night, I was very excited and nerves, but I tried to
keep calm. At the boarder there were a lot of sentries who tried to catch people like me, so I put some mud on myself to avoid being
noticed. It was not easy for me to pass through the sentries, but I bit my tongue and climbed across the swampy area. Finally, I reached
the river that runs across the boarder. I plunged into it. It was icy cold, and I used all my strength to swim as fast as I could. In about
twenty minutes, I touched land. I had made it! My happiness was beyond description. But when I stood up, a Hong Kong policeman was
immediately beside me. My dream was shattered. I was taken to a police station to wait for a trunk that takes unsuccessful refugees
back to China. The police took me in the trunk with a great many other people and we were driven like a herd of buffalo back to China. I
had lost my freedom again.

Set B

Passage 2:

Comparison and Contrast
That Learn and Hungry Look

Some people say the business about the jolly fat person is a myth, that all of us chubbies are neurotic, sick, sad people. I disagree. Fat
people may not be chortling all day long, but they're a hell of a lot nicer than the wizened and shriveled. Thin people turn surely, mean
and hard at a young age because they never learn the value of a hot fudge sundae for easing tension. Thin people don't like gooey soft
things because they themselves are neither gooey nor soft. They are crunchy and dull, like carrots. They go straight to the heart of the
matter while fat people let things stay all blurry and hazy and vague, the way things actually are. Thin people want to face the truth. Fat
people know there is no truth. One of my thin friends is always staring at complex, unsolvable problems and saying, "The key thing is "
Fat people never say that. They know there isn't any such thing as the key thing about anything.

Passage 5:

Classification and Division 1
From Cakewalks to Concert Halls

Ragtime's complex historical legacy was perhaps a major reason for its widespread appeal among both blacks and whites. First and
foremost, it was a dance music which drew on both European and African traditions. Second, ragtime was a style grounded in an
ongoing, cross-cultural, racial parody: the slaves' parody of their masters, blackface minstrels' trope of the slaves' parody, black
minstrels' trope of the blackface parody, and so on. In addition, ragtime was a rural folk music transposed to an urban and industrial
context, where its machine-like rhythms became an expression of the lost innocence of bygone days and ways. And finally, as a novel

189
popular music created by the first generation of African Americans born after slavery, ragtime represented an affirmation of their newly
experienced freedoms and an optimistic vision of the future.

Passage 6:

Comparison and Contrast 2
Jungle and Desert

The way of the desert and the way of the jungle represent the two opposite methods of reaching stability at two extremes of density. In
the jungle there is plenty of everything life needs except mere space, and it is not for the want of anything else that individuals die or that
races have any limit set to their proliferation. Everything is on top of everything else; there is no cranny which is not both occupied and
disputed. At every moment, war to the death rages fiercely. The place left vacant by any creature that dies is seized almost instantly by
another, and life seems to suffer from nothing except too favorable an environment. In the desert on the other hand, it is the environment
itself which serves as the limiting factor. To some extent the struggle of creature against creature is mitigated, though it is of course not
abolished even in the vegetable kingdom. For the plant which in the one place would be strangled to death by its neighbor dies a thirsty
seeding in the desert because that same neighbor has drawn the scant moisture from the spot of earth out of which it was attempting to
spring.

Passage 7:

Narration 1
Vital Signs

Within Janine's playroom, we were some of us handicapped, but none disabled, and in time we were each taught to prove this for
ourselves. While I poured the flour for new play dough, Janine asked me about my kindergarten teacher: What she had looked liked with
an eye patch, and if she was missing my same eye. What were the hard parts, Janine said, for a teacher like that? Did I think it was sad
for her to miss school sometimes, and did she talk about the hospital? What color was her hair, what sort was her eye path, and did I
remember if she was pretty? What would I be, Janine said, when I was that age and these surgeries were past? Over the wet salt smell
of green dough, I wished to be a doctor with one blue eye, who could talk like this to the sick, who could tell them they were still real. And
with her feel for when to stop talking, Janine turned and left me, searching out volunteers to stir up new clay.

Passage 9:

Definition
The Ultimate Kitchen Gadget

It is the ultimate kitchen gadget. It serves as a juicer for lemons, oranges, and grapefruit, and as a combination seed remover and pulp
crusher for tomatoes. It functions as a bowel scraper, an egg separator and a remover of unwelcome particles the stray bit of
eggshell, the odd grain of black rice from mixing bowel or saucepan. It is a thermometer capable of gauging temperatures up to 500
degrees Fahrenheit and, in addition, is a measuring device for dry ingredients in amounts from 1 tablespoon down to 1/8 teaspoon or
less, and for whatever liquids may be called for in the cooking of grains and stocks. It can be used as tongs for removing hot cup
custards from the oven, as a mixer of water into pastry dough and as a kneader of bread. Best of all, it cleans up in a trice, presents no
storage problems, will not chip, rust or tarnish and, if it cannot be said to be unlosable or indestructible, it nevertheless comes with a
lifetime guarantee to remain the one household convenience you will have the least desire either to love or to destroy. It is, of course, the
human hand.

Appendix B

Give each passage a grade of 0 to 100 in return for each variable.
- 75-100 is considered very easy,
- 50-75 is considered easy,
- 25-50 is considered difficult, and
- 0-25 is considered very difficult.


190

Passage No. 1 2 3 4 5 6 7 8 9 10
Variables

Word familiarity
(use of short, simple, and familiar words)

Word frequency
(how frequently a word appears in print)

Topic and content familiarity
(background schemata)

Sentence length

Density of pronoun
(No. of first, second and third pronoun)

No. of ambiguous words
(polysemy)

Syntactic complexity of sentences
(use of simple sentences, active voice, and present tense)

Concreteness
(how concrete or non-abstract the words are)

Imageability
(how easy is it to construct a mental image of the words)

Concept clarity
(semantic explicitness)

Time
(reading time for each passage)


191

The Philosophy of Pluralism in the Neo-Albanians Development Circumstances of the 1930s

Isidor Koti

Aleksander Xhuvani University
Elbasan, Albania

Doi: 10.5901/mjss.2012.03.01.191

Abstract The work draws attention on the treatment of educational with pluralism, evaluating it firstly as a solution to the
Albanian problems, analyzing educational issue connected with pluralism, making evident the Neo-Albanian views as questions
and ancient responses, as well as the state and its role on the development of pluralist institutions. Generally defined, the term
pluralism states institutional forms for political power (force) distribution. In order to analyze the mentioned phenomenon, it
means to examine the power or the distributed authority in society. Very often the term pluralism is used to signify any situation
where there are no political, ideological, cultural and ethnic ruling groups. We mean that a certain situation is characterized by
the competition existing between elites or interested groups and the pluralist society allow this competition to be freely
developed. In the Albanian development circumstances of the 1930s, Neo-Albanians chose the pluralism of opinions, which
were introduced in that time publications, especially in the Albanian Attempt magazine. We could conclude that the societies,
which have a stable economic development, have developed the values and the appropriate structures connected with
industrialization, such as the efficiency, rationalism, re-investments and benefit; all these create the basis for the increasing rate
of the integration of social groups on the basis of pluralism as a political solution. Otherwise, the Albanian society of the 21st
century has not secured yet these stable economic developments, the values and structures connected with it and also because
of the fragility are the democratic system and political pluralism.

Keywords: Education, Law, Order, Pluralism, Progress, State,

1. Introduction

There is no question that Neo-Albanianism takes a conspicuous position in the intellectual challenge of the
30s in the 20
th
century. This part of the social, philosophical, aesthetic, artistic (etc.) thought was developed
through polemics with the viewpoints of other currents, especially that of the illustrious dictatorship, the
legalists, the communistic viewpoints, etc.
In a more generalizing characterization, Neo-Albanianism represents an entirety of viewpoints of a
democratic nature, which tend toward the prioritized evaluation of the illuminating role of knowledge, science,
culture, etc. As a trend, Neo-Albanianism demonstrates, first of all, elements of a national nature that can
be evaluated, and constitutes, in my opinion, the most refined and complete national viewpoint. According to
the views of the main representatives of this trend, the periods when Albanian patriotism created its essential
elements were the period of Skanderbeg and that of the Albanian National Renaissance. To support this
idea, this trends main representatives bring forward the argument of the existence of an ideal during the
National Renaissance. In general, the need for the reemergence of such an ideal as the one that appeared
during the National Renaissance was considered by them necessary, useful, and indispensable even for the
Albania of the 1930s. (V. Nirvana, Magazine Albanian Endeavor, march 1937, p.204)
Generally speaking, they thought that the road of bourgeois development had already become the
principle of progress in Albanian society and, despite its slowness, was already walking on this road.
(Magazine Albanian Endeavor, December 1936, p.176) Among other things, V. Koca would underline: This
development of the society after the bourgeois manner and without turbulences (i.e., without social unrest)
suited Albanias bourgeois agricultural structure (small bourgeoisie), which lacked industry and the
proletariat. Feudalism was in the process of disintegration and Albania was heading toward democracy as a
cultural and economic organization (ibid, p.176-177).


192
2. Early Questions and Answers

They appear in this familiar form:
What provides order in a society?
What should we consider a condition for the social cohesion of the group or society
members?

Figure 1. Contes views about the level of social development-DTV-Atlas zur Philosophie 1991, pg 164

In fact, these are the earliest questions that have also been treated in the views of Neo-Albanians. According
to Neo-Albanians, this issue was the focus of O. Contis attention, when he formulated the principles of the
science of sociology. O. Contis impact is very tangible on the Neo-Albanians views, especially on the views
of V.Koca. In his article, Koca writes: First of all, in conformity with the principles of positive Sociology, we
must observe and try our social organization from a subjective perspective, just as we observe and try any
other vital organism(V.Koca, Tiran 2003, p. 84). As a supporter of Contis views, Koca does not forget to
also mention his favourite concepts, those of the social statics and dynamics, namely, what the causes are
(those causes that exist), despite the fact that they may be diverse.
Like Contis followers, Koca too thinks that the inevitability of the historical processes, tendencies, ebbs
and flows is a clear event for all those who believe that the universe obeys only natural laws, which
determine its being in its present form; further, as a concept, it is a vindication as well as an explanation for
those who see in this uniformity, not simply something that is a given, factual and unchangeable, but the
scheme, goal, ideal, the creation by the mind of a rational Divinity or a Universal Reason, the independent
aesthetic entity, the metaphysical principle, the teleological vindication, the theodicy, which fulfil mans desire
to know not only why the world exists, but also why is it worth existing.

Fulllevelofcomplexityofthe
process
2
2 1
r
m m
G k=
Theology
Fictitious
Metaphysic
Abstract
Scientific
Positive
Sociology
Biology
Chemistry
Physic
Astronomy
Mathematic
Spiritualdevelopment
Thescaleofpositivism
Thestateofthreestages
Encyclopedicstate

193
Figure 2. Harmonious space time as presentation of the historic process by V.Koca

In fact, since Conti, this endeavour has been supported by many thinkers, liberals, technocrats, positivists,
and supporters of the scientific organization of society, but also by many romanticists, mystics,
authoritarianism advocates, etc. This endeavour was also found in Marx, and even Spengler.
Even though, in contrast to his time, Conti is rarely mentioned today, we still want to emphasize,
alongside other modern thinkers, that the change he effected in the categories of our thinking and in our
understanding of the social system has been truly deep. Our concept of the natural sciences, writes I.
Berlin, of the material basis of the cultural developments, ... is deeply indebted to his teachings and influence
(i.e. to Comtes I.N.). In the battle against the enemies of reason, he forged such weapons that, for the
most part, continue to be deemed useful down to this day. He (Comte I.K.) did not say that history is
some sort of physics, or that it may be reduced to physics; nevertheless, his sociological conception leaned
on that direction, namely, toward a complete pyramid of knowledge that would include all scientific
knowledge, toward a single method, a single truth, a single scale of rational and scientific values. (I.Berlin,
2003, p.128-129).
The merit of Neo-Albanianism and, especially, of V.Koca continues to emerge when problems of social
order and cohesion, linked with the state issues, are considered.

3. The State and its Role in the Development of Pluralistic Institutions

Neo-Albanians too, relying on the tradition of examining political sociology, devote special attention to the
main empirical issue that deals with the description, analysis and explanation of that special, particular
structure called state.
Referring to V.Koca on his understanding of the state, we can find a definition closely related to the
historical tradition on the State, based on the views of E. Renan and Zeitgeist, which is related to the time
when the French and German nations were formed, alongside the complexes of their imagination, namely,
the unification of state and nation, otherwise known by the term of nation-state. It is written in Formulat e
Neoshqiptarizms (Formulas of New-Albanianism): Sociology, as a science, gives us a very special and
independent definition of the State. According to this definition, the State constitutes the summation of the
moral, scientific, artistic, religious, and juridical personality of a human crowd. A nation is nothing but a
sentiment, idea, spiritual harmony, and social understanding (V.Koca, 2003, p.26-27, 30). We may combine

194
it here with the definition by E. Renan of the community of the will, as he calls the nation. To him, a nation is
a big solider community, knitted together by the feeling of sacrifices and the sacrifices made in the past,
which it is also willing to make even in the future[] the being of a nation is [] a daily plebiscite. E. Renan
also defines a nations subjectivist component: A nation is a spirit, a mental principle (U. Altermatt 2002,
p.29).

This presentation refers to an old notion that sees the presence of political institutions in almost all
social relationships, so much so that it arrives at such views that equate (in the Neo-Albanians case) the
nation with the state.
In V.Koca we also find another treatment that seems to define the relations of the individual and the
state, as follows: The will of the State is the will of Man concerning his own fate, which flows directly from the
Generations continuity. The social entirety, as a conscious circuit of the same activity, cannot be understood
without a historical basis, which recognizes as national only that which is true The state, apprehended as
concrete cognition, is the function of the social brain of a specific quality of people. ...The future of the
present State, in opposition to that of the primitive State, depends solely on a systematic and constant
political and educational action on the part of the CITIZEN MAN (V. Koca, 2003, p. 229).
If we analyze Kocas presentation, we see that social control as a function of the state is seen by him
as connected with a concept such as the social brain, the political and continuous action, which means
that there are distinctions in the way authority and power were exercised in the primitive state, but also in the
way they were exercised later on. A political system, in our opinion, is any stable model of human
relationships that contains power, order, or authority on an accepted and visible scale. This also accepts that
there are distinctions in the way power is used by social groups, because this is, in one form or another, a
potential characteristic of almost every society. Koca lays out the distinctions by inserting as a solution the
specific people, who save society from undefinability and the savage state.
We are dealing with the need to define state on the basis of evaluating the social definitions of
institutions, which means that we must refer to the definition of state as the sole legitimate centre of authority
and, alongside with this definition, comes and emerges the concept of the nation-state in modern societies.
From what was said above, we can see that Koca himself does not distinguish the state from the nation, even
though the history of the development of the Albanian nation differs from the classical model of the nation-
state. Bearing these differences in mind, Koca in particular, but also other representatives of Neo-
Albanianism, has referred to the mixed model, which entails a consideration of the western model, as well as
the model that came from the modern Turkey of M. K. Ataturk.

3.1 Which is the Clearest Indicator of a Civilized (Modern) State?

According to Koca, the indicator of a modern state is the ability to effectuate reforms. In Kocas opinion, this
is related to the most innate qualities of the worlds being. In one of the initiatory essays to introduce Neo-
Albanianism to Albanians, Koca writes: Nature incessantly creates new forms. The forms it exhibits today
have never existed before. And the forms it possessed at one time exist no more today. Nature incessantly
creates new forms. Here, then, the inviolable Law, ever strong, ever powerful; the Law of life, the Law of
the human being. For the people, as much as for the nations. But, first of all, for the nations. Nations want to
live, nations want to ever hold high the name of their history, to preserve the ground of their civilization and to
develop it; these nations, in almost every period of their life, are swept by a huge reformatory wave (V. Koca,
2003, p.18).

In Albania too we find endeavours on the part of the state to effectuate reforms. But the greatest need
in the reformation of Albanian society, according to Koca, is the need for an intellectual foundation. Bearing in
mind this deficiency in Albanian life, Koca writes: Every reformatory movement with a national and
sociological content, in order to be serious, positive, efficient and fruitful, must have a general intellectual
foundation. This is the law of the true activity of all the nations in the world (V. Koca, 2003, p. 19).

Moreover, Kocas arguments are not related only to the creation of a system that would include all

195
those important social notions, but it is also important to make way for a miracle, as he calls the work of
Gustav Le Bon, Psychology of the crowds. Evaluating the work of the French psychologist, Koca writes:
Albanian life and the Albanian soul are, from a simple psychological and sociological perspective, a terra
incognita (unknown land) even for us, the children of this nation. This country has been suffering, for
centuries, not only from a lack of unity and a conscientious national life (as some suppose), but it is also
suffering, and deeply so, from a psychological anomaly. Albania, within the circle of European civilization, is a
country that may be defined as a popular hospital of psychological diseases (V.Koca, 2003, p.19).

Consequently, writes Koca, there is a need to create mental life. And, for Albania, mental life does
not mean creating typographical spectacles, or the construction of entertainment centres, but rather,
principles, steps, a courage for continual, serious research in order to analyze and explain the historical and
sociological delays in national life The work of the reforms, the preparatory work that aims at discovering
the psychological and sociological laws of our national life, as basis for every reformatory endeavour on our
part, this colossal work must be entrusted only to a monarchical youth (V.Koca, 2003, p.20). V. Koca
expresses his views with lucidity, yet they are not able to provide any adequate ways. Rather, they are
marked more by signs of pathos and enthusiasm, than by the proper finding of the real means that would
change Albanian society. This, in our opinion, is what Albanian life in the 1930s required and, despite the
Neo-Albanians faith in the figure of the king, we think that neither the king, nor the Neo-Albanians, were able
to present clear programs for the reformation of society; rather, Neo-Albanians were in the habit of playing
the classical role of the consumer and the commentator of what was happening, not having the courage or
faith to make real that virtual reality, which they had envisioned in their minds, concerning the future of
Albanian society,.
Rule in a society is related to the process of law composition. Certainly, many social activities exist
alongside the activity of making and specifying laws. Law effectuation has to do with the social structure, its
development, as well as with the rules on which this structure is built. The issue becomes even more
complex if we turn to issues such as elections in Albania in the 1930s, participation in the voting process,
characteristics of interaction between economic development and economic sustainability, or the political
system; in other words, all these issues make it necessary for us to perform analyses that would properly
consider what Neo-Albanians said, or could not say, as well as what they could not see or observe, because
we cannot realistically deny that Albanian life in the 1930s did not offer huge opportunities for information,
the necessary knowledge about the manner of development, and the real possibilities for Albanian society to
break free from the whirlwind of conflictuallity, especially the social one. In a society suffering from chronic
illiteracy, which carried out elections through secondary electors, which had urgent need for a radical
agrarian reform, which did not have a substantial development of capitalist relations, etc., which did not have
any real political freedoms, which displayed a very backward and patriarchal mentality, we should deem as
very courageous the concepts uttered by Neo-Albanians (and by their most vocal publicist, V.Koca).
Therefore, we must admit that there is a relationship of dependency between the political and economic
development of societies, which is made public by the exhibitions of values and the level of intellectual life
which, in present-day Albania, seem still far from constituting hope-giving developments.

4. Education and Pluralism

According to one concept, industrialism as well pluralism is related to education as one of the ways that helps
maintain order and stability in society.


196

Education, as an important institution in society, fulfils a number of irreplaceable functions and beyond that
Education, as an important institution in society, fulfils a number of irreplaceable functions and beyond that
consisting of systems and subsystems it assures the successful socialization of the members of society as
well as their conformity to the fundamental values and norms of the culture where they belong.
Schools play an important role in the socialization of the individual and in the assignment of roles that
the individual will play in the society. School is a socialization intermediary, which means that it is an
intermediary through which individual personalities are trained to adjust motivationally and technically, in
order to later demonstrate their roles as adults. Schools socialization functions develop commitment and
capacities in the individual, which aspects are essential prerequisites for the demonstration of their future
roles. Thus, in this way, education contributes to the maintenance of the consensus of values.
If we refer to a classical theory on the relations between the cultural, social and personality systems, it
would have the following presentation:

Cultural system = culture
Social system = social structure
Personality system = individuals
Cultural system/culture = common values (norms, knowledge, and beliefs)
Social system/social structure = a structure of the social roles
(Roles = role expectations = common behavior expectations)
System of personality/individuals=needs acquired through socialization

Culture Common values conform to common values

Social structure roles/role expectations individuals act outside their roles

Individuals needs ---------------------------------

Referring to V.Koca, we find that he expresses the view that educational change in Albania is to begin, first of
all, with the boys, and this requires the reorganization of Albanian education, which has a pile of problems in
terms of function and structure. In the pages of Demokratia, April 1929, Koca writes: How will it be possible
to achieve social education, family nurture, the highest state understanding of our people, and how shall we
awaken in the spirit of the crowd the feelings of solidarity and religiosity, which are the theoretical bases of
Industrialism Pluralism
Education
Fig. 3. A hypothetical relationship between industrialism, pluralism and education as causal relations.

197
the religious national idea of the future, unless we do not connect all our views with the main work that is
required for the reorganization of the Albanian School? The present school does not cater to the progressive
needs of the present national circuit. And this is due to the fact that School, at present, is not the product of
pedagogical preparation, but simply the product of sometime circumstances, which just happened Let us
put it bluntly: if we shall not desire to achieve a close relation and cooperation between the educational
concerns of the National School or the vital needs of national life, the reformatory endeavour of our
generation is destined to evaporate within the dream of hope, just as all other stupid and vain undertakings
that lack a program, depth and direction. The state is, finally, obligated to form its own educational policy
(V.Koca, 2003, p. 38).
In terms of distinctions, V.Koca underlines the changes in the level of society development by a number
of indicators that, according to him, appear in this way: This small psychological piece for the Boy, in
general, will be needed later as a basis, when I shall broadly develop my views on the scientific foundations
on which the New School will be constructed.
But within the circle of our ideas there is something called the biogenetic law. I mean that the
pedagogical system, which is good and proper for the Neo-Albanian School, cannot be imported wholesale
from Europe, as some suppose. The only thing that we may, and should, acquire from Europe is its science.
But it is up to us to find a way to apply it; we must try to adjust the means of our scientific activity to the
psychological, biogenetical and sociological conditions of our country. This working system, the only true
system, especially in relation to this very important pedagogical subject, will only be generated by a constant
and watchful consideration of the spiritual dispositions of the Albanian Boy. By considering and studying our
boys spiritual life, we shall learn many more things than the Boy would ever be able to learn from us! (V.
Koca, 2003, p. 39-40)
Thus, in Kocas views, his judgment on education as socialization appears, which thing is related to the
development level of society; this creates the conditions for consensus and reduction of the level of conflict in
society. His tendency is to view society as inevitably driven by the positive conditions of its development,
which the development of education enables it to have in the dimensions described by Koca. We would also
observe that Koca, as well as the view on which he relies in general, does not identify the problems that
threaten such a society that relies on consensus; we remind ourselves that this consensus may be false,
manipulated, imposed, or represented by a minority. The other problem that we notice in this viewpoint is
related to change; thus, change is either of an undefined origin (it is impossible to detect which are the social
carriers of change), or even less substantiated is the separation of the society in people of action and of
thinking, which thing adds to the problems of the bases of the Neo-Albanian viewpoint.

5. Pluralism as a Solution to the Albanian Problematics in the 1930s

In a general sense, the term pluralism specifies the institutional forms for the distribution of the political
power. Analyzing this phenomenon entails analyzing the power, or authority, distributed in the society.
Frequently, the concept of pluralism is used to designate any situation in which there are no groups of
political, ideological, cultural or ethnical rulers. We realize that a given situation involves competition between
elites and stakeholder groups, and a pluralist society allows the free development of this competition.
In the backdrop of the Albanian developments in the 1930s, Neo-Albanians chose the pluralism of
viewpoints, which they publicized in the press of the day, especially in the Prpjekja Shqiptare (Albanian
Endeavour) newspaper. According to Neo-Albanians, the formula Albania needed was progress-order-rule
and, viewed from the perspective of conditions in Albania, this meant that progress could be advocated and
achieved by any bourgeois-type regime. Neo-Albanians in general were of the opinion that the path of
bourgeois development was already the principle of progress in the Albanian society and, despite its
slowness; it was already walking on this path. Among other things, V. Koca underlined: This development of
the society in the bourgeois way and without troubles, viz., without social unrest, suited Albanias agricultural

198
bourgeois culture, which lacked industry and a proletariat. Feudalism was heading towards disintegration and
Albania was moving towards democracy as a cultural and economic organization (Albanian Endeavour
Newspaper, No. 3, p.176).

Fig. 4. Hypothetical relationships between level of industrialisation and pluralism (Dowse and Hughes
1972, p. 11).
Pluralism Level
High Low

High
Industrialism Level

Low
A, B.M=society

Neo-Albanians have been careful to express their views concerning the need for the development of
pluralism not only in the general aspect, but also in concrete developments in the Albanian life. It was not
easy, in the Albanian milieu, to provide the support and inclusive significations related to pluralism.
Among other things, we may adopt the position stated by V..Koca concerning the critiques published by
T. Zavalani in Bota e Re (New World): According to this gentleman, Prpjekja Shqiptare [Albanian
Endeavour] would be a good periodical only if it limited its scope solely to the treatment of general issues in
the natural and social sciences. Freedom of individual thinking is unlimited. Concerning the social elements,
we must be orientated by the needs of social life. For example, as people of free thinking, we may not believe
in anything (V.Koca 2003, p.29).
Among the deficiencies of the intellectual life and discussion, Koca identifies the absence of public
opinion and critique. In his opinion, these components are necessary to show in real terms the development
and progress of the Albanian society during that period. It is in this same framework that Koca opines: It is
true that, in present-day Albania, we do not have a public opinion that would be strong and crystallized
enough to demonstrate itself a formidable, leading, force in the development of our social life. Furthermore, it
is a fact that we also lack such a mental movement in which, nobody would read critical publications that
were not written by competent people and anybody would be able to understand better than any intellectual
that the product of mind called critique does not entail maligning or praising a person, or even his work.
(V.Koca 2003, p.403). To a certain degree, this view also represents the contours of the ideological conflict in
the Albania of the 1930s. If we consider O. Contis words, we may acquire a better grasp of this ideological
conflict. In Positive Philosophy, O. Conti wrote: Ideas govern the world or disintegrate it in chaos. The great
political and moral crises seem to develop outside the intellectual debate but every time that the necessary
agreement on the most crucial principles has been achieved the causes of chaos and disturbance have
been discontinued. Koca has shown the lack of integration among the parts of Albanian society by primarily
*SocietyA
*B*D*E
*C*F*G
*H
*I*J
*L*K*M

199
identifying the backwardness in the development of the capitalist industry and commerce. Once achieved,
this development would be accompanied by a population shift from rural areas to urban centres, whose legal
and civic regulation is more systematic and accords these social groups a much wider autonomy than before.
Thus, the authority structure of the Albanian feudal-bourgeois society in the 1930s would change and would
rely on the pluralism of the basic local units, which, given more competence and autonomy, would better
govern the local governmental units with more efficiency.

Fig. 5. Social recognition of concret cosmo-historical situation by V. Koca

6. Conclusions

- In phylosophy treatises, it is a recognized need to analyze the development phenomena, by taking
into consideration, first of all, the social groups, not just the individuals that comprise them. In
Kocawe find, more or less, the same foundation, except that his view relies heavily on positivism
and E. Durkheim. Here is what he writes: Society is not an entity that consists simply of the totality
of people comprising it. Society is an entity that is created by social feelings, by the common
conscience. It is not a mixture of diverse elements, but an inner synthesis, such as, for example,
the chemical matter. Thus, the social entirety, which is thus formed as a unitary quality, as an
egocentric content, as spirit and as form, is totally different from the individualistic form of the
specific individuals that comprise it (V,Koca, 2003, p.31).
- Here, we would also like to examine the achievements of New-Albanianism in the framework of this
discussion. Concerning the suggestions offered by the refinement of the road of development
followed by advanced societies, we can say that societies that have a sustained economic
development have developed proper values and structures related to industrialism, such as
efficiency, rationality, profit reinvestments, development of business organizations of large
dimensions, etc., all of which create prospects for the increase of the social groups integration rate.
Otherwise, the Albanian society of the 21
st
century has not yet acquired these sustained economic
developments, whose values and structures were previously mentioned.
Social
knowledgeof
entire
Ideaof
entire
Concrete
CosmoHistoric
State
EgoisticInterests
The security
interests of the
general
situation of a
certain
historical state
Plainand
Programs
ProgramsasPlanes

200
- Therefore, the transition period has enabled the creation of groups and quasi-groups that carry
strongly the characteristics of the societal time that formed them. The harshest feature of this
transition was the massive exodus of the rural areas population toward suburban areas and urban
centres, but also the affluence of certain very limited segments of the Albanian society. Several
scholars have pointed out the temporary character of these social groups, a character that is
unstable, undefined, and open to other groups, and just as degradable. And this strengthens our
opinion that certain parts of the Albanian politics, under the influence of a vulgar subconscious
materialism, are not able to appreciate the almost irreplaceable need for sociological studies that
should be considered with all the proper respect and attention, which thing shows that politics
operates in an antiquated culture that does not enable the creation of conditions for the resurgence
of advance social relations in the Albania of the years 2000.

References

Berlin, I. (2003) Philosophical ideas of the XX century. Tiran: Onufri.
Coser, L & Ridener, L. (2005) Sociological Theory. Tiran: Plejad.
Dervishi, Z. (1999) Cultural Sociology 1. Tiran: Shblu.
Koca, V. (2003) Works. Tiran: Plejad.
Mill, J.S. ((1861), 1910) Considerations on Representative Government. London: Dent.
Nikaj, I. (2002) Albanian social and philosophical thinking of the years 1930(New Albanians). Kor: Kotti.


201

The Cultural Evolution of Roma Population in Romania:
From the Inter-War Period to Ceausescu Dictatorship

Eliana Villa

Sapienza University of Rome
Email: eliana.villa@hotmail.it

Doi: 10.5901/mjss.2012.03.01.201

Abstract Since the Middle Age, when we have the first sources about the presence of the Gypsy community in Romania, the
Roma population occupied a marginality place. The slavery, which they were subjects to since the XIV and XV centuries in the
principalities of Wallachia and Moldavia, determined, as direct consequence, the placement of Roma in an inferior social position
and discrimination by the attitude of the Romanian population. This former condition of inferiority is necessary to understand the
motivations that have determined such a little attention to the Roma and to the respect for its rights and its cultural
characteristics. This is especially true by the end of the WW I, when Romania became a big country with a large territory and
many populations to rule. Since this time the Roma will suffer the politics of homogenization to the majority population and
consequent loss of cultural characteristics. Nevertheless during the interwar age there were attempts to preservations of identity
carried by some associations defending the rights of Roma .But these associations were suppressed in 1938, by the
authoritarian resolution of Carol II and then, in 1940, when Antonescu established the military dictatorship, any identity rights to
Roma were denied: anyone who refused the homogenization was deported to Transnistria. Afterwards, in communist age, until
1989, Roma were considered only as Romanian people, and therefore forced to live as the majority population. However the
attitudes of discriminations against them did not stop, thus the Roma were not able to rise socially. In Romania today a
significant part of the Roma still lies in poverty, unemployment and illiteracy condition and its still considered the scum of
society. Trough the study of the history of Roma, we can understand the reasons of their diversity and the difficult integration in
European societies.

Keywords: Roma population, cultural identity, cultural homogenization, associations, holocaust, nomadism.

1. Introduzione

La popolazione rom vanta una presenza secolare nel territorio dellattuale Romania: gi nei documenti
risalenti al XIV ritroviamo la presenza di comunit zingare al servizio della grande nobilt e del clero.
1
Questa
condizione di sudditanza, rimase tale fino al 1856, anno in cui fu definitivamente abolita la schiavit nei
Principati di Valacchia e Moldavia.
Da uomini liberi, i rom si dedicarono soprattutto ai lavoro dartigianato, per i quali divennero molto
famosi e ricercati in tutto il paese: realizzavano utensili in rame per i lavori domestici, attrezzi agricoli, tappeti,
cuscini e si dedicavano al trasporti della legna e alla fabbricazione del mattone per la costruzione di case.
Inoltre, non possiamo tralasciare la loro innata propensione artistica, in particolare per la musica e gli
spettacoli circensi: la maggior parte delle orchestre di musica popolare erano composte da musicisti di
origine zingara, che si esibivano nei costumi tradizionali e cantavano nella originaria lingua romanes.
2

Tuttavia, nellimmediato primo dopoguerra, il processo di trasformazione economica, che sub la
Romania, determin un duro colpo alla vita della popolazione rom. La prima conseguenza fu la perdita di
1
La tesi storica maggiormente condivisa riconosce la venuta dei primi rom in Romania nel 1241, a seguito delle invasioni dei Tatari
(antica popolazione di origine turcica dellAsia centrale), che entrarono nel territorio degli antichi principati danubiani insieme alla loro
servit di origine zingara. Cos i rom si stabilirono nel territorio rumeno gi come schiavi. Un numero considerevole di documenti rumeni
del XIV e XV secolo confermano la condizione di schiavit dei rom nei principati di Valacchia e Moldavia.
2
Il romanes la lingua che identifica le comunit zingare della Romania, ed una lingua esclusivamente orale.

202
lavoro per molti artigiani, che videro diminuire la domanda dei loro prodotti, a causa della concorrenza dei
prodotti industriali, venduti a minor costo. Ma la modernizzazione, che non interess solo la sfera economica,
bens anche quella sociale, determin un cambiamento dei costumi e dello stile di vita della popolazione
rumena: e cos anche gli artisti rom, fino ad allora considerati i principali protagonisti dellintrattenimento
nellintero paese iniziarono a perdere la loro notoriet. Le orchestre di musica rom non venivano pi
ingaggiate per spettacoli, a causa del cambiamento dei gusti musicali della popolazione, che preferiva il
nuovo genere jazz, a quello popolare, mentre i rom circensi subirono una crisi profonda a causa dalle
numerose petizioni delle neo-costituite societ per la protezione degli animali, indignate dal maltrattamento
imposto agli animali da parte degli ammaestratori.
3

Di fronte a queste difficolt, molti si adattarono a un nuovo stile di vita, pi vicino a quello del resto della
popolazione, omogeneizzandosi a questultima e accogliendo quindi gli stimoli del modernismo.
Dal primo dopoguerra, allera di Ceausescu, la Romania sub degli importanti cambiamenti, di fronte ai
quali la popolazione rom non poteva uscirne incolume. Tutte le politiche condotte nei loro confronti non
ebbero mai lobiettivo di conservazione delle specificit culturali, bens di eliminazione delle loro peculiari
caratteristiche e in particolare del loro stile di vita, che risultava troppo primitivo per limmagine che il paese
voleva dare. La politica di rumenizzazione colp tutti gli aspetti: da quello occupazionale, attraverso
labbandono dei lavori artigiani a favore di unoccupazione salariata, a quello abitativo, che signific lo
collocazione di molte famiglie in appartamenti alle periferie delle citt, e quindi una scatenata lotta al
nomadismo.
Questultimo era considerato una vera piaga per il paese e per questo si prov qualsiasi tentativo di
eliminazione: negli anni quaranta del novecento, si decise addirittura la deportazione di tutti i nomadi nei
campi di lavoro della Transnistria.
La Transnistria, terra del dolore e del pianto per molti rom, rappresent il tentativo pi estremo di
eliminazione degli individui scomodi per limmagine del paese: la deportazione interess circa 25.000 anime
4
,
costrette per oltre due anni a patire freddo e fame.
Attraverso lanalisi dei documenti ufficiali dellepoca, vedremo in che cosa consistettero le politiche di
omogeneizzazione, condotte dal periodo interbellico allera di Ceausescu, e quali furono le reazioni da parte
della popolazione rom, ponendo particolare attenzione alla lotta al nomadismo e quindi agli anni delle
deportazioni in Transnistria.

2. Levoluzione Sociale del Periodo Interbellico: il Contributo delle Associazioni

Se nel periodo interbellico la comunit rom inizi una progressiva evoluzione socio- culturale, che determin
dei cambiamenti importanti nelle abitudini e negli stili di vita, ci non fu dovuto solo al processo di
modernizzazione che aveva interessato lintero paese in quegli anni, ma anche allattivit delle associazioni
zingare, costituitesi in Romania proprio allindomani della Prima guerra mondiale.
In questi anni comparvero nella scena sociale del paese i primi intellettuali di origine rom, i quali erano
convinti della necessit di riscatto da quella situazione di inferiorit che vivevano nei confronti del resto della
popolazione.
Tuttavia, come vedremo, il desiderio di emancipazione, difeso e combattuto dalle associazioni, non far
altro che portare questultime ad allinearsi agli schemi del potere: la lotta al nomadismo, il favoreggiamento
della sedentarizzazione e degli interessi della classe politica, non faranno altro che aumentare le
frammentazioni allinterno delle comunit rom e la loro graduale perdita delle caratteristiche distintive.
3
Nella Romania dellepoca erano numerosi gli ursari, rom circensi che si esibivano in spettacoli insieme ad orsi. Tuttavia le loro tecniche
di cattura e di ammaestramento, insieme al loro modo di esibirsi, erano ritenute troppo selvagge per la nuova immagine che la Romania
si era costruita allindomani della prima guerra mondiale.
4
Ad oggi non si hanno ancora dati certi sul numero complessivo dei deportati.

203
Nel 1933 nacquero due associazioni rom.
La prima, nel settembre, fu lAsociaia General a iganilor din Romnia (Associazione Generale dei rom di
Romania) costituitasi a Bucarest, per opera dellarchimandrita Calinic I. Popp-erboianu. Questultimo, tra il
1909 e il 1911, oper come diacono della cappella romena di Parigi: in questi anni pubblic Les Tsiganes,
Histoire- Ethnographie-Linguistique-Grammaire-Dictionnaire, che lo rese membro presso The Gypsy Lore
Society di Londra , ed proprio nellambiente londinese che matur lidea di costituire lAsociaia General.
Lo scopo dell associazione fu redatto per esteso nel manifesto intitolato: Apel ctre toi iganii din
Romnia (Appello a tutti i rom di Romania), dove si esortarono tutti i rom del paese a riunirsi per far valere i
propri diritti, perch solo dove cera unione ci poteva essere potere.
5

LAsociaia General era lunica speranza del presente e del futuro per restituire una nuova vita alle
popolazioni zingare, che si concretizzava in un dettagliato programma culturale e di assistenza sociale.
Per quanto riguarda questultima si prevedeva assistenza giuridica, medica e lavorativa per tutti i rom,
cos come lapertura di centri di accoglienza per le famiglie pi povere. Inoltre, si menzionava lapertura di
scuole e universit, la pubblicazione di libri, riviste e quotidiani in lingua rom; si incentivava lorganizzazione
di conferenze, spettacoli e scuole di danza ispirate alla tradizione popolare zingara.
La seconda associazione che si costitu, sempre nello stesso anno, fu lUnionea General a Romilor
din Romnia- I.G.R.R. (Unione Generale dei rom di Romania) per iniziativa di un uomo daffari, Gheorghe A.
Lzrescu- Lzuric.
Il programma di questa associazione era mirato allapertura di scuole, atenei e riviste zingare,
biblioteche e centri di assistenza sociale; alla difesa di musicisti e lavoratori rom, che avevano perso la
possibilit di praticare la loro attivit a causa della presenza della concorrenza straniera nel paese; alla
sedenterizzazione dei nomadi, attraverso la concessione di terreni ai margini della citt e dei villaggi, con lo
scopo di eliminare il problema dei furti e del vagabondaggio.
Tuttavia questa associazione nacque con lobiettivo di contrapporsi allAsociaia General e, in
particolare, alla figura del leader erboianu, accusato di voler convertire tutti i membri della sua associazione
alla Chiesa Unita.
6
Al suo posto, come leader di tutti i rom rumeni venne nominato dal Patriarca ortodosso
proprio Lzuric.
Al di l delle contese personali importante sottolineare il sempre pi vivo legame che si instaur tra
lUGRR e il mondo ortodosso: nello statuto dellassociazione vi era un punto dedicato proprio al campo
spirituale. Si esortavano tutti i membri ad aderire alla chiesa ortodossa, attraverso il battesimo, i matrimoni
religiosi, la lettura della bibbia e a lottare contro tutti i nemici dellortodossia.
Lavvicinamento al mondo ortodosso da parte dellassociazione fu molto significativo se si pensa che il
clero, soprattutto nelle campagne, era un riferimento per tutte le famiglie, non solo da un punto di vista
religioso, ma anche economico.
LUGRR fu senza dubbio la pi importante organizzazione rom di tutto il paese: per tutti gli anni del suo
operato lUGRR raggiunse dei risultati significativi, quali la sedentarizzazione di alcune famiglie nomadi,
nonch la concessione di autorizzazioni per la libera circolazione delle stesse nel paese, la realizzazione di
un centro di assistenza sociale per le famiglie pi povere, lorganizzazione di alcuni congressi rom e la
pubblicazione di riviste quali O Rm e Glasul Romilor.
Lopera e lattivismo dei leader menzionati fu soprattutto quello di imprimere ai rom una coscienza
etnico-identitaria. Le organizzazioni decisero di adottare il termine rom, respingendo quello di zingaro, che
poteva assumere connotazioni dispregiative. Il termine rom fu inserito in tutti gli atti pubblici e manuali
5
In particolare, si sottoline lappartenenza secolare alle terre rumene, a una nazione amata e mai tradita, ma che li aveva relegati a un
ruolo di inferiorit, di miseria e sacrificio. Nessun altro popolo era stato tanto umiliato, disprezzato e dimenticato, come quello rom.
6
In effetti lUnione nacque proprio in un delicato momento, quando erboianu venne degradato dalla diocesi di Vlcea e tenuto sotto
osservazione, per mancanza di moralit, e per azione sovversiva nei confronti del Patriarcato e del Consiglio Centrale della chiesa
ortodossa.

204
scolastici e, addirittura, si pose laccento sullorigine sanscrita del termine, per giustificare il passato nobile di
questa popolazione. Aggiungendo a ci la volont di creare scuole, universit, centri di cultura, tribunali e
addirittura seminari specifici per la popolazione rom, possiamo constatare che in questi anni si pose laccento
anche alla preservazione della propria identit.
L integrazione alla popolazione rumena, visibile soprattutto con la colonizzazione delle famiglie
nomadi, non pu rientrare quindi a pieno titolo nellottica di omogeneizzazione nazionale, e ne a
dimostrazione la politica delle stesse organizzazioni, che si pu definire un miscuglio di modernismo e
tradizionalismo, riflettendo di fatto la situazione della popolazione rom della Romania di quel periodo.
Tuttavia non bisogna dimenticare che lassociazionismo rom di questi anni non fu sentito dalla maggior
parte della popolazioni zingare che risiedevano nel territorio nazionale: se si pensa alle differenze linguistiche
e culturali di ciascuna famiglia e alla dispersione delle stesse nel territorio, possiamo affermare che
lassociazionismo servito, da una parte, a sensibilizzare lopinione pubblica nei confronti delle
problematiche sociali dei rom e, dalaltra, a permettere lavvicinamento in politica dei suoi leader. erboianu e
Lzuric furono entrambi membri e sostenitori del Partito Nazional Cristiano di Goga e Cuza, che stava
prendendo sempre pi consensi nel paese dopo la sconfitta dei liberali e lingresso delle influenze
nazionalistiche, che interessarono tutta lEuropa della fine degli anni trenta.
La vicinanza alle sfere di potere pi influenti del paese, non serv tuttavia ad allungare la vita e lattivit
delle associazioni, che ebbero fine con la svolta autoritaria di Carol II nel 1938 e, in particolare, con il decreto
legge del Marzo del 1938, dove vennero sciolte tutte le associazioni, gruppi e partiti politici.

3. La Lotta al Nomadismo

Se per la comunit rom il nomadismo viene visto come un fatto essenzialmente spirituale
7
, per le
autorit centrali i nomadi non erano altro che una reliquia dellepoca antecedente: il loro stile di vita lontano
dagli standard qualitativi che il paese aveva raggiunto, era ritenuto oltremodo pericoloso sia per la sicurezza,
quanto per la salute pubblica.
Gi nel periodo interbellico vi furono numerose denunce effettuate dalle autorit locali, nelle quali si
richiedeva lespulsione di rom, accusati di furto, malattia e depauperamento del territorio. La popolazione
locale era infastidita dal comportamento dei nomadi che, di giorno, mendicavano di casa in casa e, di notte,
rubavano galline e vestiti; inoltre il loro modo di vivere in condizioni di scarso igiene determinava come
conseguenza diretta il contagio di malattie infettive.
8

In risposta a questo disagio il governo decise cos di affidare ai nomadi dei terreni, dove poter costruire
delle abitazioni: questo primo tentativo di sedentarizzazione in realt non ebbe nessun esito positivo, dal
momento che molti rom, dopo aver ricevuto le propriet, le rivendettero immediatamente, per poter
continuare a praticare il nomadismo.
Fu cos che nel 1940, quando in Romania si instaur la dittatura militare di Antonescu, il numero dei
nomadi nel paese era ancora molto alto.
9
Certamente il nuovo governo dittatoriale, di orientamento fascista,
non poteva tollerare nessun elemento estraneo in grado di contaminare la razza rumena: il problema
maggiore era rappresentato proprio dai rom, in quanto erano il pi numeroso gruppo etnico dopo i rumeni.
Il primo pensiero di Antonescu fu quello di evacuare tutti i rom nomadi dalle periferie delle citt, in quanto
erano diventati un problema per lordine pubblico, ma tuttavia non sapeva dove localizzarli: loccasione gli si
7
Il viaggio non ha solo un fine economico, nella ricerca di lavori stagionali, ma anche un fine sociale, perch permette lincontro con
laltro, e spirituale: il nomade viaggia innanzitutto nella sua interiorit.
8
In uno studio condotto sui nomadi negli anni venti, con il fine di esortare la loro sedentarizzazione, compaiono come caratteristiche
distintive di questa comunit la propensione negativa al lavoro, lo scarso sentimento per la patria e larretratezza culturale, dovuta
allattaccamento a credenze e superstizioni.
9
Secondo le stime dellepoca vi erano in Romania 11.441 nomadi.

205
present allinizio del 1942, quando la Romania, grazie allappoggio dellalleato tedesco, riconquist la
Bessarabia e si appropri di una nuova regione, la Transnistria.
Il nuovo territorio di occupazione fu subito oggetto di politiche di sviluppo da parte del governo rumeno
ma, dal momento che la popolazione locale non era sufficiente per soddisfare la manodopera necessaria, si
decise di inviare forza lavoro dalla Romania. Questa fu loccasione per Antonescu di sistemare tutti i rom,
ritenuti scomodi e pericolosi, in un posto lontano, al di fuori dei confini nazionali.
Nel maggio del 1942 si effettu un censimento di tutta la popolazione rom, distinguendo tra nomadi e
stanziali: si decise di deportare in Transnistria soltanto la componente nomade e quella pericolosa (ovvero
coloro che avevano precedenti penali). Tuttavia, sia per la difficolt effettiva nel distinguere un individuo
nomade da uno seminomade (ovvero uno stanziale che si sposta solo stagionalmente), sia per abusi di
potere, alla fine vennero deportate un numero maggiore di persone rispetto a quelle censite.
10

Inoltre, nonostante il regolamento stilato da Antonescu prevedesse, allarrivo in Transnistria, la
sistemazione in villaggi formati da 150 famiglie ciascuno e un inserimento lavorativo, anche qualificato, per
tutti i rom tra i 12 e i 60 anni, tuttavia la realt dei fatti fu di gran lunga differente.
Durante linverno del 1942-1943 vi furono tra i tremila e quattromila decessi, causati dalla mancanza di
cibo, dal freddo e dalle malattie. Molti tentarono la fuga, nella speranza del ritorno a casa, ma nella maggior
parte dei casi vennero catturati, processati e arrestati.
La fame, il freddo, le malattie, condussero gli individui ai comportamenti pi estremi. Il cannibalismo,
come alternativa alla mancanza di cibo, fu allordine del giorno.

L non cerano russi, non cerano poliziotti, non cera nessuno, ceravamo solo noi, rom. Quando moriva qualcuno, lo
si poneva sul fuoco, lo si cuoceva e lo si mangiava.per la fame, che cosa dovevamo fare? Alcuni addirittura
mangiavano i propri figli quando morivano. Un guaio, una tristezza. Ma non avevamo da mangiare.

La situazione cambi solo nella primavera del 1944, quando lArmata Rossa inizi lavanzata verso i territori
rumeni, e di conseguenza Antonescu ordin limmediato rientro di tutta la popolazione dalla Transnistria.
Dalle testimonianze dei superstiti, il rientro in patria, fu ancora pi duro della stessa deportazione: ci
avvenne sia, perch i rom sopravvissuti fuggirono verso i territori nazionali insieme alle truppe rumene, e per
questo subirono insieme a loro gli attacchi delle truppe nemiche, sia perch molti non avevano le condizioni
fisiche necessarie ad affrontare un nuovo viaggio, dal momento che avevano patito due anni di fame, freddo
e malattie.

Quando siamo giunti al Nistro gli americani ci hanno bombardato: sono rimaste solo le pietre. Sono morti i nostri
uomini, sono morti i tedeschi, sono morti i rumeni, lintera armata stata distrutta.

Il cammino del ritorno insieme alle truppe fu faticoso, chi non riusciva a camminare, stremato dalla fame e
dalla sete, veniva ucciso.

Se non potevi camminare ti infilavano la pistola in bocca e ti uccidevano, per non farti soffrire pi e per non essere un
peso per loro. Cera una donna incinta, che non ce la faceva, hanno ucciso anche lei. Alla fine non sentivamo pi la
stanchezza, perch camminavamo per la paura.

La deportazione rappresent un chiaro tentativo di eliminazione dei rom, lasciati in balia della sorte, di una
morte lenta e senza diretti colpevoli. La Transnistria fu per loro un olocausto, lolocausto dimenticato.

10
Nel settembre del 1942 finirono in Transnistria 13.176 rom, invece di 12.497. Tra il 1942 e il 1944 furono deportati circa 25.000 rom.


206
4. Conclusioni

Alla fine del secondo conflitto mondiale, la Romania, entr nella sfera di influenza dellUnione Sovietica: nel
marzo del 1945 venne eletto il primo governo comunista del paese, guidato P. Groza. Il merito della riuscita
delle forze comuniste senza dubbio da attribuire alle minoranze nazionali, ovvero a tutte quelle popolazioni
di origine non rumena che erano presenti in una percentuale abbastanza alta allepoca, tanto da poter
influenzare significativamente i risultati elettorali. Un merito quindi da attribuire anche alla popolazione rom:
secondo gli studi condotti, la maggior parte di loro si iscrisse al partito comunista dopo la guerra, perch
fiduciosa della stessa ideologia, che professava uguaglianza per tutti e tutela per i pi deboli.

Dopo esser tornato dalla Transnistria, nel 1946, mi inscrissi al Partito Comunista. Perch? Per tre motivi.
Innanzitutto perch sono stato deportato e ritornato in patria grazie ai russi; poi perch se non ci fossero stati i russi
non sarebbe ritornato nessuno, avrebbero tutti lasciato le ossa in Transnistria. Infine perch nel mio comune tutti i
rom vivono in una situazione di marginalit.

Tuttavia, il partito comunista, al potere nei primi anni successivi alla seconda guerra mondiale, si serv dei
rom solo per il consenso e fu capace di abbandonarli alla loro sorte non appena le condizioni socio-politiche
del paese modificarono: la fratellanza espressa nel manifesto del 1946, si trasform ben presto in
indifferenza verso, non solo le condizioni economiche e sociali in cui versavano i rom, ma anche nei confronti
della totale negazione della loro specifica identit etnica.
Riguardo questultimo punto, quando nel dicembre del 1948 il regime riconobbe lo status di nazioni coabitanti
alle minoranze etniche presenti nel paese, con la conseguente concessione in loro favore di regioni
autonome, distretti nazionali e bilinguismi, i rom non vennero presi in considerazione: ci perch loro non
furono considerati un etnia e quindi non necessitavano di una legislazione specifica che andasse in loro
favore.
Il problema rom sembr allimprovviso sparire, tanto da rendere questa comunit quasi invisibile alla
nazione stessa: non vennero rappresentati come etnia a livello di amministrazione del partito e dello stato,
non vi furono istituzioni che promuovevano i loro interessi e che accogliessero le loro richieste.
Solo a met degli anni settanta, durante il regime di Ceausescu, la problematica rom torn ad essere
discussa tra i vertici governativi. Le trasformazioni economiche e sociali che interessarono la Romania in
quei decenni, quali lindustrializzazione e lurbanizzazione, non poterono non intaccare anche lo stile di vita
dei rom. Anche se non abbiamo fonti certe sulle politiche di Ceausescu nei confronti delle comunit zingare,
possiamo certo affermare che questultime, in quegli anni, mutarono significativamente il loro stile di vita,
dalle condizioni abitative, allistruzione, alloccupazione e alla stessa cultura.
I rom furono sistemati in appartamenti situati nei quartieri periferici delle citt: ci determin sia
disgregazione delle tipiche famiglie, in quanto non potevano convivere molte persone sotto lo stesso tetto,
sia riduzione in povert, a causa della mancanza di servizi e delle generali pessime condizioni di vita che si
ritrovano nelle periferie delle grandi citt.
Inoltre tutti furono costretti a dedicarsi a un lavoro convenzionale, generalmente in fabbrica,
abbandonando cos la pratica dei mestieri tipici. Anche la stessa cultura sub una crisi profonda, dovuta sia
al divieto di pubblicazione di quotidiani in lingua romanes, sia allimpossibilit per i musicisti di esibirsi
pubblicamente.
Lobiettivo principale di Ceausescu era quello di uniformare completamente la popolazione rom a
quella maggioritaria: ci, oltre ad aver eliminato la piaga zingara della societ rumena, avrebbe anche
favorito quel processo di rumenizzazione del paese, indispensabile per la conservazione e il rafforzamento
del potere. A dimostrazione di ci vi il fatto che molti rom furono insediati in villaggi dove vi era un maggior
numero di minoranze, cos da aumentare sensibilmente la percentuale di nazionalit rumena. Al di l degli
scopi specifici della politica di questo periodo, importante soffermarsi sul fatto che effettivamente molti rom
si omogeneizzarono alla popolazione maggioritaria, favorendo cos quel processo di perdita di identit

207
iniziato gi nel periodo interbellico. Tuttavia, i rom, anche se si identificano come rumeni, occupano tuttora
un posto marginale nella societ: le discriminazioni nei loro confronti, da parte dellopinione pubblica, sono
aumentate soprattutto allindomani della rivoluzione del 1989. Ceausescu ha cercato di elevare il loro status,
affidandogli case, lavoro e istruzione, senza rendersi conto di alimentare ancora di pi lodio dei cittadini
rumeni nei confronti di una popolazione considerata, fin dal medioevo, la feccia della societ.
Questa atavica discriminazione, unita alla povert, disoccupazione e analfabetismo sembrano auto
alimentarsi in un ciclo negativo che taglia fuori i rom da qualsiasi speranza di ascesa sociale, lasciandoli in
una situazione di perenne marginalit. Molti di loro hanno scelto di fuggire dalla Romania, stabilendosi in altri
paesi, ma portando con s queste caratteristiche negative.

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209

Validity of Self-Reported Height, Weight and Body Mass Index Among Cypriot Adolescents:
Accuracy in Assessing Overweight Status and Weight Overestimation as Predictor of
Disordered Eating Behaviour

Hadjigeorgiou Charalampos

Research and Education Institute of Child Health,
56 Stavrou street, 2035 Strovolos, Cyprus, Email: chadjigeo@mtnmail.com.cy

Tornaritis Michael

Research and Education Institute of Child Health, 56 Stavrou street, 2035 Strovolos, Cyprus
Pedagogical Institute, Email : tor.michael@cytanet.com.cy

Solea Antonia*

Savvas Savva*

* Research and Education Institute of Child Health,
56 Stavrou street, 2035 Strovolos, Cyprus, Email: toniasolea@yahoo.com.cy

Kafatos Antonis

University of Crete, Hraklion, Crete, Greece

Doi: 10.5901/mjss.2012.03.01.209

Abstract Aim: the aim of the present study was to assess the validity of self-reported weight and height among Cypriot
adolescents. Method: Adolescents weight and height was measured during school. Students completed the questionnaires
EAT-26 and EDI-3. Results: self-reported and measured weight and height are highly correlated. Boys underreport their weight
by 0.28 kg and over report their height by 0.84 cm; girls underreport their weight by 0.91 kg and over report their height by 1.52
cm. 8% of overweight adolescents would have been neglected if self-report measures were relied upon. Overweight adolescents
make greater self-report errors in BMI in comparison to their normal/ underweight counterparts. Adolescents who overestimated
their weight by 5% had lower scores on Drive for thinness scales and Body dissatisfaction scales. Conclusion: relying on self-
report estimates of height and weight can lead to erroneous conclusions of prevalence estimates of overweight and obesity
among Cypriot adolescents and must be used with caution.

Keywords: anthropometric measures; body mass index; obesity; self-report; disordered eating behaviour

1. Introduction

The measurement of weight and height are perhaps amongst the most widely used anthropometric
measurements in clinical practice and research. From these two measurements body mass index (BMI) is
constructed, which has been used to assess a wide array of factors including nutritional status, the presence
or absence of eating disorders and body type to name a few. A higher BMI has been pinpointed as an
important risk factor for conditions such as high blood pressure, high cholesterol, insulin resistance, type 2
diabetes and cardiovascular diseases (Brown et al., 2000; Grundy, 2004). Accurate measurement of weight
and height are therefore vital.
Often in research and practice professionals rely on self-reported height and weight measurements

210
rather than actual measurements most likely because it is convenient, saves both time and money and is
non-invasive, especially when dealing with larger numbers of participants ( Elgar et al., 2005; Wada et al.,
2005). Studies have shown that self-reports of height and weight are reliable and are highly correlated with
actual measurements in both adults and adolescents (Elgar et al., 2005; Wada et al., 2005; Goodman,
Hinden, & Khandelwal, 2000; Lim, Seubsman, & Sleigh, 2009; Larsen et al., 2008). Nevertheless, despite
these high correlations systematic errors have been noted in self-reported data among the population
(Sherry, Jefferds, & Grummer-Strawn, 2007). Generally, people tend to overestimate their height and
underreport their weight resulting in failures to detect a portion of morbidly obese cases (Larsen et al., 2008),
with sensitivity rates being specifically low among older adolescents (Elgar et al., 2005). Furthermore, studies
have also found that there is a tendency among adolescents for girls to underreport their weight more so than
boys (Brener et al., 2003), overweight and obese adolescents also tend to underreport their body weight in
comparison to normal and underweight adolescents (Wang, Patterson, & Hills, 2002).
Research is accumulating to suggest that weight overestimation is linked to diagnosed eating disorders
and has been suggested to play an important role in the maintenance of anorexia nervosa (Farrell, Lee, &
Shafran, 2005). In addition this overestimation or underestimation of weight could be characteristic of
someone at-risk for the development of an eating disorder rather than the actual presence of one (Heilburn, &
Friedberg, 1990), as a result weight discrepancies could be used as a way of identifying those at-risk persons
(Conley, & Boardman, 2007). In Cyprus no data exist on the association between weight overestimation and
symptoms of disordered eating behaviours among the non-clinical adolescent population.
The vast majority of research on self-reported weight, height and BMI have been conducted mainly in
Western, developed nations. Due to differences in body size and cultural norms the accuracy of self-reported
data may differ among populations and sub-groups. For example one Japanese study found no statistically
significant difference between self-reported and measured weight in adults (Wada, et al., 2005) but in another
Asian country, Thailand, researchers found discrepancies in self-reported and measured data similar to those
in developed countries (Lim, Seubsman, & Sleigh, 2009). Cyprus is an island located in the eastern
Mediterranean Sea, over the past forty years a great cultural shift has been observed where the population
has changed from a traditional rural one into a modern, developed, European one as far as way of life,
nutritional and clothing habits, media, entertainment and role models are concerned. It is a question
therefore, whether the accuracy of self-reported anthropometric measurements vary in ways similar to those
of Western countries.
No literature exists on the precision and differences in self-reported and measured weight, height and
BMI among the Cypriot adolescent population. The scope of this study was to examine the discrepancy
between these two sets of data, discover the accuracy of using self-reported data to categorize adolescents
into underweight, normal weight, overweight and obese, to determine whether a persons gender and weight
status has an effect on their accuracy in reporting their weight and height and finally to assess whether
weight overestimation is characteristic for the development of an eating disorder.

2. Research Methods

2.1 Participants

In 2010, a representative sample of school students was selected to participate in an epidemiological study
on eating disorders. Students were requested to answer a self-administered questionnaire, either the Eating
Attitudes Test-26 or the Eating Disorder Inventory-3. The questionnaires included asking a person to state his
or her gender, age, height and weight. The handing out of questionnaires and anthropometric measurements
of weight and height were collected on the same day. For the purpose of this study only those students were
used where complete data was collected. Complete data included date of birth, gender, self-reported weight
and height and measured weight and height. This left a total of 579 adolescents used in this research, 392

211
females of mean age 15.4 (SD 1.7) and 187 males of mean age 15.0 (SD 1.7). Out of the 579 adolescents,
403 completed the EDI-3 and 176 the EAT-26. Participation in the study was voluntary and students were
ensured the confidentiality of their answers.

2.2 Anthropometric Measurements

Height and weight were measured by the same trained professionals each time; the participants were
dressed in light trousers and school t-shirt and were without shoes. Weight was measured using a portable
scale, and height was measured to the nearest 0.1cm using a stadiometer. The students were asked to stand
with their feet together and look forward.
Measured BMI was defined as the BMI calculated from measured weight and height, and self-reported
BMI as the BMI calculated from self-reported weight and height. Adolescents were classified as underweight,
normal, overweight and obese according to the percentile curves for BMI of children and adolescents in the
unoccupied area of Cyprus described in 2001 (Savva et al., 2001).

2.3 Questionnaires

The Eating Attitudes Test (EAT-26) is a self-report questionnaire of 26 items assessing the range of
symptoms of anorexia and bulimia nervosa. Each item is rated on a 6-point Likert scale ranging from never
to always. Total EAT scores (the sum of all 26 items) were calculated for each participant. The clinical cut-
off point for eating disturbances is a score of 20 or above, which is indicative of serious eating disturbances
or weight concerns.
The EDI-3 is also a self-report questionnaire consisting of 91 items measuring psychological domains
relevant to the understanding and treating of eating disorders (Garner, 2004). The EDI-3 presents items on a
6-point Likert scale using a 0-4 point scoring system (e.g. 001234) with null scores for the non-symptomatic
answers. The 91 items of the questionnaire are organized into 12 primary scales: three eating-disorder
specific scales and nine general psychological scales relevant but not specific to eating disorders. The three
eating disorder specific scales are relevant to this research: (a) Drive for thinness (DT) which consists of 7
items measuring an individuals preoccupation with dieting and fear of weight gain. (b) Bulimia (B) comprises
of 8 items and assesses an individuals tendency to think about and engage in periods of overeating. (c)
Body Dissatisfaction (BD) scale consists of 10 items assessing the extent of peoples dissatisfaction with the
overall shape and size of their body. Raw scores were calculated for each of these scales and using the EDI-
3 interpretive guidelines cut-off points were created.

2.4 Statistical Analyses

SPSS version 18.0 was used for data management and all statistical analyses. As the validity of self-reported
height and weight may differ among boys and girls, separate analyses were made for each gender. A p-value
of less than 0.05 was considered statistically significant in all analyses.
Differences were calculated by subtracting measured values from self-reported values in height, weight
and BMI. Paired sample t-tests were used to examine differences between self-reported and measured
values. Pearson correlation coefficients were computed to determine the concordance between measured
and self-reported values. So as to assess the agreement in detail Bland-Altman plots were conducted (Bland,
& Altman, 1986).
Measured and self-reported BMI was divided into four categorical groups (underweight, normal,
overweight and obese) using age- and gender appropriate cut-off points according to Cypriot percentile
curves. The Kappa statistics were performed to assess the degree of concordance. Independent sample t-
tests were used to compare overweight/obese and underweight/normal weight participants.

212
In line with previous research (Conley, & Boardman, 2007) participants were divided into two
categories: those who overestimated their weight by 5% or more of their actual weight and all others who
estimated their weight to be below 5% of their measured weight. Chi-square tests were carried out to
determine whether adolescents who overestimate their weight by 5% or more have more pathological scores
on the EAT-26 and EDI-3 subscales than those who do not.

3. Results

Descriptive statistics on measured and self-reported weight, height and BMI are presented in Table 1. Self-
reported weight was less than measured weight in girls, but not so for boys. Both boys and girls overestimate
their height. As a result, BMI calculated from self-reported data significantly under-reported measured BMI by
0.3 kg/m
2
for boys and 0.74 kg/m
2
for girls. The degree of self-report bias in weight and height did not differ
between genders but with regards to BMI there was a greater discrepancy between subjective and measured
values for girls (t (577) = 2.583, p < 0.01) in comparison to boys. There were strong correlations between
measured and self-reported values ranging from 0.85 to 0.95.

Table 1. Paired sample t-test comparing self-reported and measured anthropometric data;
discrepancies and correlations (boys (n =187), girls (n = 392)

Self-report
Mean (SD)
Measured
Mean(SD)
t Discrepancy
a

(self-report-
measured)
Mean (SD)
Pearson
correlation
coefficient
Weight, kg
Boys 60.95 (14.1) 61.23 (14.0) 0.807 -0.28 (4.7) 0.945**
Girls 54.11 (10.3) 55.02 (11.0) 4.762** -0.92 (3.8) 0.939**
Height, cm
Boys 167.72 (10.6) 166.88 (9.7) -2.110* 0.85 (5.5) 0.858**
Girls 162.20 (6.9) 160.68 (6.9) -8.352** 1.52 (3.6) 0.865**
BMI, kg/m
2

Boys 21.48 (3.8) 21.78 (3.8) 1.977* -0.30 (2.1)
0.851**
Girls 20.51 (3.3) 21.25 (3.7) 9.405** -0.74 (1.6) 0.907**

a
A negative value reflects underestimating and a positive value reflects overestimating
* p < 0.05
** p < 0.0001
Significant differences between males and females p < 0.05

The differences between measured and self-reported values were plotted against the mean of measured and
self-reported values in height and weight for both males (Figure 1) and females (Figure 2). A range of
agreement was defined as mean bias 1.96 SD. Concerning self-reported and measured weight, the 95%
limits of agreement between the two methods ranged from -9.43 to 8.88 for males and -8.37 to 6.54 for
females. The 95% limits of agreement between self-reported and measured height are -9.90 to 11.59 for
males and -5.53 to 8.56 for females. The percentage of participants scoring outside the 1.96 SD range of
agreement for weight is 5.3% of boys and 4.6% of girls, for height the corresponding figures are 3.7% of boys
and 4.3% of girls. Overall therefore, self-report and measured values do provide similar measures.

213
Figure 1. Bland-Altman plots of differences between measured and self-reported weight and height
against the mean of these values for males

MALES
20 40 60 80 100 120
-25
-20
-15
-10
-5
0
5
10
15
20
Average weight by two methods (self-reported+measured)/2 (kg)
D
i
f
f
e
r
e
n
c
e

i
n

w
e
i
g
h
t

(
s
e
l
f
-
r
e
p
o
r
t
e
d
-
m
e
a
s
u
r
e
d
)

(
k
g
)
Mean
-0,3
-1.96 SD
-9,4
+1.96 SD
8,9

MALES
140 150 160 170 180 190 200
-30
-20
-10
0
10
20
30
40
Average height by two methods (self-reported+measured)/2 (cm)
D
i
f
f
e
r
e
n
c
e

i
n

h
e
i
g
h
t

(
s
e
l
f
-
r
e
p
o
r
t
e
d
-
m
e
a
s
u
r
e
d
)

(
c
m
)
Mean
0,8
-1.96 SD
-9,9
+1.96 SD
11,6


214
Figure 2. Bland-Altman plots of differences between measured and self-reported weight and height
against the mean of these values for females

FEMALES
30 40 50 60 70 80 90 100 110
-30
-20
-10
0
10
20
30
Average weight by two methods (self-reported+measured)/2 (kg)
D
i
f
f
e
r
e
n
c
e

i
n

w
e
i
g
h
t

(
s
e
l
f
-
r
e
p
o
r
t
e
d
-
m
e
a
s
u
r
e
d
)

(
k
g
)
Mean
-0,9
-1.96 SD
-8,4
+1.96 SD
6,5

FEMALES
140 150 160 170 180 190
-20
-15
-10
-5
0
5
10
15
20
Average height by two methods (self-reported+measured)/2 (cm)
D
i
f
f
e
r
e
n
c
e

i
n

h
e
i
g
h
t

(
s
e
l
f
-
r
e
p
o
r
t
e
d
-
m
e
a
s
u
r
e
d
)

(
c
m
)
Mean
1,5
-1.96 SD
-5,5
+1.96 SD
8,6

Table 2 shows the Kappa value when the four classes of self-reported BMI were compared to their measured
BMI. Females have substantial agreement whereas males have only moderate agreement. Twenty-five
cases of overweight/obese participants would have been overlooked if one relied solely on self-report
measures. Overweight and obese females have greater discrepancies in weight, height and therefore BMI in
comparison to under- and normal weight females (Table 3). There is no difference in height discrepancy for
overweight/obese and underweight/normal males. The former however have greater discrepancies in weight
and BMI in comparison to the latter.


215
Table 2. Classification of participants according to measured and self-reported BMI

FEMALES
N=392
MALES
N=187
Measured
N (%)
Self-report
N (%)
Kappa Measured
N (%)
Self-report
N (%)
Kappa
Underweight 47 (12) 59 (15.1) 9 (4.8) 11 (5.9)
Normal 272 (69.4) 279 (71.2) 122 (65.2) 126 (67.4)
Overweight 62 (15.8) 48 (12.2) 46 (24.6) 41 (21.9)
Obese 11 (2.8) 6 (1.5)

0.662
(p <0.000)
10 (5.3) 9 (4.8)

0.562
(p <0.000)

Table 3. Independent sample t-test comparing overweight/obese participants and underweight/normal
participants in discrepancies between weight, height and BMI

FEMALES MALES
Under/normal
weight
Mean (SD)
N=319
Overweight/
obese
Mean (SD)
N=73
t Under/normal
weight
Mean (SD)
N=131
Overweight/
Obese
Mean (SD)
N=56
t
Weight
discrepancy
-0.44 (3.6) -2.99 (3.9) 5.065** 0.43 (4.7) -1.93 (4.2) 3.246**
Height
discrepancy
1.30 (3.6) 2.50 (3.4) -2.622* 0.50 (5.5) 1.66 (5.4) -1.327
BMI discrepancy -0.47 (1.4) -1.90 (1.8) 6.403** 0.06 (1.9) -1.15 (2.1) 3.796**

* p < 0.01
** p < 0.001

Participants who overestimated their weight by at least 5% of their measured weight have lower scores on
the DT scale (t (389) = 3.533, p = 0.000) and the BD scale (t (389) = 2.599, p = 0.01) of the EDI-3 in
comparison to the other participants who completed the questionnaire. This can also be seen in Table 4, with
the results of the Chi-square tests. There was no difference between the two groups on the EAT-26 and its
subscales or the B subscale of the EDI-3.

Table 4. Weight overestimation and scores on the EAT-26 and EDI-3 subscales

Weight estimation
by under 5% N (%)
Weight over-
estimated by 5%
and above N (%)
2

107 (69.9) 46 (30.1) EAT-26 Normal score
Pathological score (>20) 12 (66.7) 6 (33.3)
0.08
266 (77.3) 47 (22.7) DT Normal score
Pathological score 17 78 (90.4) 5 (9.6)
4.65*
228 (65.5) 120 (34.5) B Normal score
1.74
272 (80.2) 67 (19.8) BD Normal score
3.09*
* p < 0.05

216
4. Discussion

This study investigated the validity of self-reported weight and height in Cypriot male and female adolescents.
Similar to the conclusions of other studies carried out in other countries (Elgar et al., 2005; Wada et al., 2005;
Lim, Seubsman & Sleigh, 2009; Larsen et al., 2008; Brener et al., 2003; Wang, Patterson, & Hills, 2002;
Sherry, Jefferds, & Grummer-Strawn, 2007) self-reported height and weight are highly correlated with
measured height and weight for both boys and girls, with correlations for height being lower than for weight.
In spite of these high correlations between the objective and subjective measurements certain
characteristic errors can be detected. Girls underreport their weight by an average of 0.91kg and over-report
their height by 1.51cm thereby underreporting their BMI by 0.74kg/m
2
. For adolescent boys on the other hand
although there was no statistical significance they underestimated their weight by average 0.28kg.
Statistically significant differences however were found for height which was overestimated by 0.84cm
making BMI underestimated by 0.3kg/m
2
. These findings are similar to those of other general population
studies of European, developed nations such as France (Niedhammer et al., 2000), Scotland (Bolton-Smith
et al., 2000), and the UK (Spencer et al., 2002). Review studies (Sherry, Jefferds, & Grummer-Strawn, 2007)
find that females underestimate their weight and BMI more so than males. Although this study did find that
girls underestimate their BMI more than boys, no differences were found between the two genders in their
estimates of weight and height.
Of much more importance for researchers and practitioners is the use of self-reported height and
weight to calculate BMI and provide categorical measures of overweight and obesity. In line with previous
research (Sherry, Jefferds, & Grummer-Strawn, 2007) the prevalence of overweight is consistently
underestimated by self-reported data, with the relative error ranging from-2.4 to -42.7% and sensitivity data
reporting that 25% - 45% of those overweight would be ignored. Concerning Cypriot adolescents, 19
overweight and obese females (4.9%) and 6 overweight and obese males (3.2%) would have been
overlooked and neglected by relying only on subjective measures of height and weight.
A further consistent bias concerning adolescents is the tendency for those overweight to underreport
their weight and BMI more so than normal weight adolescents (Sherry, Jefferds, & Grummer-Strawn, 2007).
Both overweight and obese female and male Cypriot adolescents have greater weight discrepancies in
comparison to their normal/ underweight counterparts. Adolescent overweight and obese females tend to
overestimate their height in addition to underestimating their weight, which is not the case for overweight and
obese males.
One of the final aims of this research was to assess whether weight overestimation may be a sign of an
adolescent at-risk for the development of an eating disorder. Body size overestimation has been found to be
associated with eating disorders (Farrell, Lee, & Shafran, 2005). No differences however were found between
adolescents with pathological scoring on the EAT-26 and the eating disorder specific scales of the EDI-3
when discrepancies in weight, height and BMI were seen. Conley and Boardman (2007), found that women
who over reported their weight by at least 5% were significantly more likely than those who either under
reported or accurately reported their weight to exhibit disordered eating behaviours. A different set of
questionnaires were used in this research to assess disordered eating however the opposite results were
found. Participants who overestimated their weight by at least 5% had lower scores on Drive for thinness
scales and Body dissatisfaction scales. In conclusion therefore, weight overestimation among Cypriot
adolescents cannot be taken as a sign of vulnerability for the development of eating disorders.
Overall, it can be concluded from the results of this research that the accurate measurement of weight
and height must depend on objective measurement and not subjective self-report. The greatest errors in self-
reporting derive from those overweight and obese individuals researchers and practitioners wish to detect. As
rates of overweight and obesity continue to increase relying on self-reports are likely to become more and
more unreliable.


217
Acknowledgements: special thanks to Andreas Charalambous, Director of the Pedagogical Institute, the
supervisors, Eva Neofytou and Sandri Taliadorou, and teachers of the Home Economics of the Ministry of
Education and Culture.

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219

Assessing Heterogeneity of Effect Size on Sample Size in
a Meta- Analysis of Validity Studies

Adeyemo, Emily Oluseyi

Adediwura, Alaba Adeyemi

Department of Educational Foundations and Counselling,
Faculty of Education Obafemi Awolowo University. Ile-Ife
Email seyiadeyemo2007@yahoo.com Email: Yemtoy20002000@yahoo.com

Doi: 10.5901/mjss.2012.03.01.219

Abstract This study examined the impact of heterogeneity of effect size on the sample size of some validity studies. Thirty (30)
empirical studies were selected on the basis of empirical status and relevance; their results both quantitative and qualitative
were recorded, coded and analyzed. The findings revealed that the differences in the results of the 30 selected empirical
studies were a function of the sample size on which the studies were based. Mean Fisher ( Zr =0.393 , WZr=0.42347).
Characteristics peculiar to each study did not affect the result of the study. Weighted Mean Fisher by sample size ( WZr)
=0.398 with associated r=0.375) was an equivalent of the Mean Fisher. The results of the empirical studies were found to be
significantly different in terms of their effect sizes (2=1444.97 p ). The heterogeneity of the effect size was a result
of the heterogeneity of the sample size. The Weighted Mean Fisher was bigger than the Mean Fisher (WZr=0.489 ,Zr=0.393).
The difference in the result was a function of differences in the sample size and not as a result of the study characteristics
peculiar to each study.

Key words: meta - analysis, effect size, heterogeneity, Sample size.

1. Introduction

Meta-analysis is a form of research synthesis in which empirical results of previous studies are re-analyzed. It
is the statistical analysis of a large collection of analysis from individual studies for the purpose of integrating
the findings (Adeyemo,2007). Meta-analysis is a set of statistical procedure designed to accumulate
experimental and correlation results across independent studies that address a related set of research
questions (Glass 1976. P.3). Meta-analysis uses the summary statistics from individual studies as the data
point, unlike the traditional research methods. The key assumption of this analysis is that each study provides
a different estimate of the underlying relationship within the group. In the process of accumulating results
across studies, one can obtain a more accurate representation of the population relationship that is provided
by the individual study estimators.
Some researchers viewed meta-analysis as quantitative literature review (Stanley, 2001) while some
asserted that meta-analysis could be used to highlight aspect critical to future development of theory
(Rosenthal and Dimatteo, 2001, Golafarb1995). but whatever their views, the goal of meta analysis involves
the provision of accurate, impartial and quantitative description of the findings in a population of studies on a
particular topic. Although there had been a wide increase in its application, meta-analysis is still surrounded
with various methodological difficulties, among which is the impact of the heterogeneity of effect sizes on the
results of a meta-analysis study
Heterogeneity in meta-analysis refers to the variation in study outcomes between studies. Typically,
meta-analysis has three main goals:
(i) to test whether studies results are homogenous
(ii) to obtain a global index about the effect magnitude of the studied relation join to a
confidence interval and its statistical significance and

220
(iii) if there is heterogeneity among studies, to identify possible variables or characteristics
moderating the results obtained.
The classical measurement heterogeneity is Cochrams Q which is calculated as the weighted sum of
squared difference between individual study effect and the pooled effect across studies, with the weight being
those used in the pooling methods. Q is distributed as a chi-square with k-1 degree of freedom where k =
number of studies .As a test of heterogeneity, Q has low power when the number of studies is small and too
much power if the number of studies in large. (Higgins, et al 2003).
The shortcoming of the Q statistic is that it is not powerful to detect true heterogeneity among studies when
the meta-analysis include a small number of studies and also has excessive power to detect negligible
variable with a high number of studies (Alexander Scozzaro and Borodlain 1989, Cornwell 1993, Cornwell
and Ladd 1993, Hardy and Thompson 1998). Alongside, Q statistics does not provide the information about
the extent of true heterogeneity but only its statistical significance, but Huggin and Thompson (2002)
provided an alternative which is the use of 1
2
indices as a measure of true heterogeneity.
There are two sources of variability that explain the heterogeneity in a set of studies. One of them is the
variability due to sampling error also called within study variability. This is always present in meta-analysis
because every single study uses different samples. The other source of variability is the between study
variability which appear in meta-analysis when there is true heterogeneity among the population effect size
estimated by the individual studies. The between studies variability is due to the influence of an undetermined
number of characteristics that vary among the studies such as those related to the characteristics of the
samples ,variation in the treatment, the design quality etc. (Brockwell and Gordon 2001, Hunter and Schmidt
2000, Feild 2003, National Research Council 1992). In meta-analysis, when the difference in results
between studies is greater than would be expected by chance, one needs to investigate whether the
observed variation in results across studies is associated with methodology features between studies
Assessing heterogeneity in meta-analysis is a crucial issue because of the presence or absence of true
heterogeneity. The between studies variability can affect the statistical model that the meta-analyst decide to
apply to the meta-analytic database. When studies results differ by the sampling error ( i.e. homogeneity
case) a fixed-effect model can be applied to obtain an average effect size. On the other hand, if the study
results differ by more than the sampling error (i.e. heterogeneous case), the meta-analyst can assume a
random effect model in other to take into account both within and between studies variability or moderator
variable can be searched from a fixed effect model. (Field 2001, 2003, Hedges 1994, Hedges and Olkin
1985, Helges & Vevea 1998, Overton 1998).
Heterogeneity is to be expected in a meta-analysis because the multiple studies that are performed by
the different researchers in different places with the different methods cannot but end with different estimating
underlying parameters. In meta analysis, when the difference in results between studies is greater than the
expected by chance one needs to investigate whether the observed variation in results across studies is
associated with methodological features between studies. Hence, to identify causes of heterogeneity, to
learn about its robustness and to be able to remove it prior to performing meta-analysis, is the need for
evaluating its sensitivity.
This study is designed to assess the impact of heterogeneity of the effect size in a meta-analysis of
some empirical validity studies

1.1 Research Questions

(i) What factors contribute to the large amount of variance in the strength of previously
reported validity studies?
(ii) What is the extent to which study characteristics peculiar to the studies contribute to the
large amount of validity studies.?


221
1.2 Research Hypothesis

(i) The selected studies are not significantly different in terms of their effect sizes
(ii) The heterogeneity of the effect size is not due to heterogeneity of sample size used on
the various research studies.

2. Methodology

The study design is a causal-comparative (i.e. ex-post facto). The sample size consisted of 30 empirical
studies with document made up of both published and unpolished articles on validity of UME in Nigeria. The
30 validity studies were purposively selected on the basis of empirical status and relevance, using a
computer search and hand searching through the reference of collected papers and other relevant books and
journal on the subject. The quantitative results were recorded and converted to common effect size while the
qualitative results were recorded and coded. The results were analyzed in line with the works of Glass
(1981), Rosenthal (1984) and Rosenthal & Roselow (1984).

3. Results

Research Question (1).What factor contributes to the large amount of variance in the strength of previously
reported validity studies.
To identify the factors that contribute to the large amount of variance in the strength of the previously
reported validity studies, the mean Fisher
Zr
of the selected empirical studies was compared with the
Weighted Fisher W
Zr

Weighted Fisher W
Zr
=
and
Unweighted Mean Fisher
Zr
=

Table 1. Effect of Sample size on the effect size of the selected study.

Study S/N Sample
size
N-3 r Zr (N 3)(Zr)
1 250 247 0.39 0.4118 101.7146
2 558 555 0.32 0.3310.6 184.038
3 300 297 0.21 0.232 63.3204
4 121 118 0.47 0.5101 60.1918
5 40 37 0.04 0.04 1.48
6 800 797 0.28 0.2877 229.2969
7 30 27 0.09 0.0902 2.435
8 1800 1797 0.86 1.1155 2004.5535
9 750 747 0.18 0.182 135.954
10 802 799 0.09 0.0902 72.0698
11 100 97 0.57 0.6475 62.8075
12 123 120 0.29 0.2986 35.832
13 1379 1376 0.61 0.7089 975.4464
14 30 27 0.24 0.2448 6.6096
15 40 37 0.04 0.04 1.48

222
16 120 117 0.70 0.8673 101.4741
17 687 684 0.21 0.2132 145.8288
18 180 177 0.37 0.3884 68.7468
19 54 51 0.30 0.3095 15.7845
20 860 857 0.48 0.533 456.781
21 180 177 0.31 0.3205 56.7285
22 227 224 0.42 0.4477 100.2848
23 6462 6459 0.43 0.4477 2891.694
24 107 104 0.12 0.1206 12.5424
25 78 75 0.36 0.3769 28.2675
26 60 57 0.62 0.725 41.325
27 159 156 0.36 0.3769 58.7964
28 212 209 0.03 0.03 6.27
29 42 39 0.36 0.3769 14.6991
30 222 219 0.78 1.0454 228.9426
16683 M. Fisher 0.39307 8165.395
W. Fisher 0.48994

From the table, the Mean Fisher
Zr
was 0.393037, with the associated r = 0.375. Weighted Mean Fisher
WZr
= 0.434713 with associated r = 0.410 . The Weighted Mean Fisher was greater than the Mean
Fisher. Weighting by sample size resulted to bigger estimate of combined effect size than when sample
sizes were not used. The difference in the results of the 30 empirical studies was a result of differences in the
sample size on which r was based. Thus weighted r = 0.410 was a better measure because it corrected for
the diversity of sample used by different researchers.

Research Question 2 What is the extent to which study characteristics peculiar to these studies contribute
to the large amount of variance in the strength of previously reported validity studies.

From the quantitative results, twenty characteristic features coded of the empirical study were recorded. The
summations were used as weights. The weights were ascribed as independent variables because to a
certain extent, the results recorded by primary researchers were influenced by those study characteristics.
The highest weight for a study was 38 while the lowest was 29. The maximum weight for any study was 47
based on the coded characteristics. The bigger the weight, the more representative the indices on which the
primary researcher based the calculation of co-efficient r

Table 2. Coded Characteristics under Researcher Control and Effect Size r

Study R Zr W (W)(Zr)
1 0.39 0.4118 29 11.9422
2 0.32 0.3310.6 38 12.600
3 0.21 0.232 27 5.7564
4 0.47 0.5101 26 13.2626
5 0.04 0.04 29 1.16
6 0.28 0.2877 35 10.0695
7 0.09 0.0902 26 2.3452
8 0.86 1.1155 27 30.1185
9 0.18 0.182 34 6.188
10 0.09 0.0902 33 2.9766

223
11 0.57 0.6475 36 23.31
12 0.29 0.2986 29 8.6594
13 0.61 0.7089 39 27.6471
14 0.24 0.2448 35 8.568
15 0.04 0.04 33 1.32
16 0.70 0.8673 36 31.2228
17 0.21 0.2132 31 6.572
18 0.37 0.3884 37 14.370
19 0.30 0.3095 31 9.5945
20 0.48 0.533 37 19.721
21 0.31 0.3205 31 9.9355
22 0.42 0.4477 37 16.5649
23 0.43 0.4477 38 17.0126
24 0.12 0.1206 32 3.8592
25 0.36 0.3769 33 12.4377
26 0.62 0.725 30 21.75
27 0.36 0.3769 38 14.3222
28 0.03 0.03 30 0.9
29 0.36 0.3769 34 12.8146
30 0.78 1.0454 34 35.5436
Mean Fisher 0.393037 985 392.5449
Weighted Fisher 0.398

Using,

Zr
=
Substituting the various weight (W) and Fisher (Zr) from the table, Weighted
Zr
= 0.398 with associated
r =.375. Although the value is relatively low, yet it is not bigger than the Mean Fisher
Zr
=0.393 with
associated r = 0.375.
The implication of this is that weighting by characteristics under the researchers control did not
contribute to any large amount of variance in the strength of previously reported validity studies.

Hypothesis 1: The empirical validity studies are not significantly different in terms of their effect sizes.

The works of Cochram (1967, 1980) were used to assess the statistical heterogeneity of the 30 effect sizes.
X
2
=
2
1
) )( 3 ( Z Zrj Nj
k
j

=
is distributed for _
2
with k 1 df

Table 3. Computation of Chi-squared Using Correlation Coefficient Effect Size r

Stud
y
Sampl
e size
N-3 r Zr
r Z Zr
(
r Z Zr
)
2
(N-3)(
r Z Zr
)
2

1 250 247 0.39 0.4118 0.018763 0.000352 0.086956392
2
558 555 0.32 0.3310.6
0
.061437
0.003775 2.094850258
3 300 297 0.21 0.232
0
.0179837
0.32341 9.605379931
4 121 118 0.47 0.5101 0.117063 0.013704 1.617042024

224
5 40 37 0.04 0.04
0
.353037
0.124635 4.611499565
6 800 797 0.28 0.2877
0
105337
0.011096 8.843419204
7 30 27 0.09 0.0902
0
302837
0.09171 2.476176711
8 1800 1797 0.86 1.1155 0.722463 0.521953 939.9491571
9 750 747 0.18 0.182
0
.211037
0.044537 33.26885168
10 802 799 0.09 0.0902
0
.302837
0.09171 73.27648861
11 100 97 0.57 0.6475 0.254463 0.064751 6.280887582
12 123 120 0.29 0.2986
0
.094437
0.008918 1.070201636
13 1379 1376 0.61 0.7089 0.315863 0.099769 137.2827422
14 30 27 0.24 0.2448
0
.148237
0.021974 0.593303621
15 40 37 0.04 0.04
0
.353037
0.124635 4.611499565
16 120 117 0.70 0.8673 0.474263 0.224925 26.316271
17 687 684 0.21 0.2132
0
.179837
0.032341 22.12148105
18 180 177 0.37 0.3884
0
.004637
2.1505 0.003805813
19 54 51 0.30 0.3095
0
.083537
0.006978 0.355899949
20 860 857 0.48 0.533 0.139963 0.01959 16.78832265
21 180 177 0.31 0.3205
0
.072537
0.005262 0.9313406097
22 227 224 0.42 0.4477 0.054663 0.002988 0.669321759
23 6462 6459 0.43 0.4477 0.054663 0.002988 19.29977341
24 107 104 0.12 0.1206
0
.272437
0.74222 7.719079573
25 78 75 0.36 0.3769
0
.016137
0.00026 0.019530208
26 60 57 0.62 0.725 0.331963 0.110199 6.281367702
27 159 156 0.36 0.3769
0
.016137
0.00026 0.040622832
28 212 209 0.03 0.03
0
.363037
0.131796 27.54533544
29 42 39 0.36 0.3769
0
.016137
0.00026 0.010155708
30 222 219 0.78 1.0454 0.652365 0.425577 93.20146895
6683 M. Fisher 0.393037 1444.972198*
W. Fisher 0.434713 *P<0.05 (significant)

From the table, the observed chi-square
2
= 1444.97 while the critical value at 29 df = 42.557. Since
2
observed is greater than
2
critical, the null hypothesis is rejected. This implies that the empirical studies
are significantly different in terms of their effect sizes r. This is an indication that there is no statistical linear
trend in terms of effect size across this set of study. The heterogeneity of the set of effect sizes referred to
fluctuation from the average of the group. The heterogeneity of the effect sizes was indicative of moderator
variables operating.
One would need to be cautious about drawing any simple overall conclusion because of the
heterogeneity of the 30 studies combined. That the results of the 30 studies differed from each other could be
a function of differences in the sample sizes on which r was based; it could also be publication or

225
methodological features. The question now is is the heterogeneity of the effect sizes due to heterogeneity of
the sample sizes used for the various studies? To establish the fact that the effect sizes were influenced by
the heterogeneity of the sample size, the null hypothesis two was raised.

Hypothesis 2: The heterogeneity of the effect size is not due to heterogeneity of sample size used on the
various empirical studies

Table 4. Test of Heterogeneity

Study S/N Sample
size
N-3 r Zr (N 3)(Zr)
1 250 247 0.39 0.4118 101.7146
2 558 555 0.32 0.3310.6 184.038
3 300 297 0.21 0.232 63.3204
4 121 118 0.47 0.5101 60.1918
5 40 37 0.04 0.04 1.48
6 800 797 0.28 0.2877 229.2969
7 30 27 0.09 0.0902 2.435
8 1800 1797 0.86 1.1155 2004.5535
9 750 747 0.18 0.182 135.954
10 802 799 0.09 0.0902 72.0698
11 100 97 0.57 0.6475 62.8075
12 123 120 0.29 0.2986 35.832
13 1379 1376 0.61 0.7089 975.4464
14 30 27 0.24 0.2448 6.6096
15 40 37 0.04 0.04 1.48
16 120 117 0.70 0.8673 101.4741
17 687 684 0.21 0.2132 145.8288
18 180 177 0.37 0.3884 68.7468
19 54 51 0.30 0.3095 15.7845
20 860 857 0.48 0.533 456.781
21 180 177 0.31 0.3205 56.7285
22 227 224 0.42 0.4477 100.2848
23 6462 6459 0.43 0.4477 2891.694
24 107 104 0.12 0.1206 12.5424
25 78 75 0.36 0.3769 28.2675
26 60 57 0.62 0.725 41.325
27 159 156 0.36 0.3769 58.7964
28 212 209 0.03 0.03 6.27
29 42 39 0.36 0.3769 14.6991
30 222 219 0.78 1.0454 228.9426
16683 M. Fisher 0.39307 8165.395
W. Fisher 0.48994

Source: From the work of Snedeco and Cohram (1967,1980)
Weighted Mean Fisher W
( )
( ) 3
3
E
E
=
Nj
Zrj Nkj
r Z
and
Mean Fisher
k
zr
r Z

=


226
The Mean Fisher
Zr
= 0.393039 with its associated r = 0.375, Also the Weighted Mean Fisher
WZr
=
0.489944 with the associated r = 0.450. The Weighted Mean Fisher is greater than Mean Fisher. This implied
that weighting by sample size led to a bigger estimate of combined effect than when weight was not used.
The implication of this was that sample size affected the Mean Fisher (Zr). Hence, the null hypothesis was
rejected. The heterogeneity of the effect size of the selected studies was due to heterogeneity of the sample
sizes used by the various primary researchers. The results of the 30 empirical studies therefore differed from
each other because of differences in the sample sizes used Hence, the weighted Mean Fisher
WZr
=
0.489944 with associated r = 0.450 was a better measure because it corrected for the diversity of sample
sizes used by different researcher.

4 Discussion

Assessing heterogeneity in meta-analysis is a crucial issue because of meta-analyst decision to select the
statistical model to be applied i.e...fixed -versus random effect model (Huedo-Medima et al,2006). This
misspecification has substantial negative consequence on the result of this meta-analysis study. The result of
this study cast some lights on the implications of heterogeneity of the sample size on the effect size of a
meta-analysis study, thus establishing the findings of Koetse, Fiorax, & De-root (2005) ( which is the impact
of omitted variables and erroneous effect size measures on the result of a meta-analysis. Also that the Q has
low power when the number of studies is small and too much power when the number of studies is high). The
Weighted Mean Fisher was greater than the Mean Fisher because of differences in the sample size on which
r was based .This established the findings of Field (2003) that variation could be influenced on
undetermined numbers of characteristic that vary among the studies as those related to the characteristics of
the sample. Meta-analysis sample size is far more effective in reducing meta-estimator than primary study
sample size. With relative small increase in metaanalysis sample size, the quality of the outcome of the
analysis is substantially improved, even when the effect size heterogeneity is high. The various types of
effect size heterogeneity may have substantial detrimental effect from the true underlying effect average out
of sample size that are common in practice.
That the studies were significantly different in terms of their effect size was an indication that there is no
statistical linear trend in terms of effect size across this set of study. The heterogeneity of the set of effect
sizes referred to fluctuation from the average of the group which gave the indication of moderator variables.
Weighting by sample size led to a bigger estimate of combined effect thus establishing the works of Higgin &
Thompson (2002). Characteristics under researchers control did not contribute to any large amount of
variance in the strength of previously reported validity studies of this meta- analysis as Brockwill et al (2001)
assumed as part of the sources of variability in the result of any meta-analysis study. The heterogeneity in
a set of the studies was a result of variability which occurs as a result of different sample sizes used for the
study samples.

Conclusion

Heterogeneity is to be expected in a meta-analysis. It could be surprising therefore if not impossible if
multiple studies performed by different researchers in different places with different methods all ended up
establishing the same underlying parameter. For this study the impact of heterogeneity of the sample sizes
resulted to difference in the results of the primary researchers. In research work therefore, a standardized
sample size is recommended to be assigned to published articles and the unpublished articles should also be
within a given range of sample sizes.


227

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229

Water Vending in Nigeria - A Case Study of Festac Town, Lagos, Nigeria

A. E Olajuyigbe

O.O Rotowa

I.J Adewumi

Department of Urban and Regional Planning,
Federal University of Technology,
P.M.B 704, Akure, Nigeria E-mail: olajuyigbe03@yahoo.com

Doi: 10.5901/mjss.2012.03.01.229

Abstract In most developing countries, it has been recognized that conventional water utilities have fallen short in providing
adequate water services to populations. Festac Town, Lagos, Nigeria is a typical community that is presently not being serviced
by such water utilities due to the inability of the Water Supply Agency (WSA) in supplying water to the area. Households
therefore seek other alternative sources including water vending. This paper examined the role of water vending in household
water supply delivery in this community. It identified the sources of water supply by the vendors, assessed their level of
patronage among households and identified the problems associated with their operations. For the study, a total number of
1,139 and 57 households and vendors were selected by simple random sampling respectively. The result showed that there are
two main categories of water vending namely; formal and informal vendors. All formal vendors obtain their supplies from
improved sources while most informal vendors obtain theirs from unimproved sources. Majority of the households consider
vended water as a coping strategy since they are aware of the safety implications. Therefore, most households are willing to pay
for water services. The paper canvassed the need for government to recognize the role of water vending in water delivery. It
advocated for a secondary level of supply mechanism among vendors in a bid to ensure quality water supply. The paper
concluded that the most sustainable strategy would be to resuscitate the moribund piped water supply system earlier initiated by
the WSA.

Keywords: water vending, formal water vendor, informal water vendor,

1. Introduction

At the U.N. Millennium Summit in 2000 and subsequently at the Johannesburg Earth Summit in 2002, world
leaders agreed to a set of time-bound and measurable development targetswidely known as the
Millennium Development Goals for 2015which include a commitment to halve the proportion of people
without access to safe drinking water (UNDP, 2003). From a total access of 77% in 1990, today, the World
populations access to improved water has increased to 87% (WHO and UNICEF, 2010). Paradoxically, in
Nigeria, only 58% access to improved water is currently recorded. This represents a slight growth in access
from 1990 when the proportion was 47% (WHO and UNICEF, 2010). It has been confirmed that not all
improved sources of water are safe. In general, only piped water is usually regarded as safe (Sullivan, et al,
2003). When this factor is considered only 30% of the world population has access to safe source of water.
Ironically, in Nigeria, only 6% of the population has access to such source (WHO and UNICEF, 2010). In this
country, rapid population growth has not been accompanied by an increase in the delivery of essential urban
services including water. Thus, there has been a widespread recognition and acceptance that conventional
water utilities have fallen short in providing adequate water services to populations especially the urban poor.
In general, most communities in the country are presently not serviced or at best under-serviced by water
utilities due to the inability of the designated WSA to meet their needs. Households therefore seek other
alternative sources which in most cases are unsafe. Prominent among these sources is water vending.

230
Water vending is usually formal or informal. It is formal when it is undertaken by formal bodies, such
as water utilities themselves or registered associations, or by small scale informal supplies. Formal vendors
generally supply water in tankers and the water is obtained either from treated utility supplies or from
registered sources. On the other hand, informal vendors obtain water from many different sources, protected
and unprotected and deliver small quantities of water for domestic use in a variety of ways ranging from carts
and cycles to containers or wheel barrows, trolleys and animal-drawn or mechanized carts and tanker trucks.
The most important advantage of informal water vending is that households who are unable to buy
water connections and set aside larger quantities of money to pay bills are able to purchase small quantities
of water on a daily basis according to what they can afford. On the other hand, informal vending draws
attention to the deficiencies of public utilities and emphasizes the failure of these utilities to meet the water
need of the population. In general, vended water is common in many parts of the world where scarcity of
supplies or lack of infrastructure limits access to suitable quantities of drinking-water (WHO and UNICEF,
2000). However, the greatest challenge to water service delivery through this mode is the quantity and quality
of supplies. Vended water has been associated with outbreaks of diarrhea disease as some of the vended
water is obtained directly from unprotected source such as unprotected wells and surface water including
rivers/streams, ponds and canals etc (WHO, 2006).
Whittington et al (1989), in a study of water vending in Onitsha, Nigeria, observed that most
households obtains their water supplies from well-organized water vending system that is operated by the
private sector. In this city, on annual basis, households pay water vendors over twice the cost of piped water.
A similar study carried out in Kaduna and Katsina, Nigeria shows that vendors charge as much as 20 times
the unit rate of the respective State Water Agencies (FRN, WSS, 2000). In general, the poorest families pay
more per month than some of the richest who can afford a connection to their compound or house. The
amount, for a very limited volume of supply from private water vendors, can be four to ten times that of one
months continuous tap supply from the utility (Whittington et al, 1989). Adekalu et al (2002) in a study of four
cities in southwest Nigeria observed that the adoption of other main sources of households including vended
water is a means of supplementing the inadequacy arising from the failed piped water system. Akpan (2005)
observed that most households in Apapa/Iganmu, Alimosho, Shomolu and Ajeromi/Ifelodun areas in Lagos
depend on vended water. Specifically, in Ajeromi/Ifelodun with a population of over one million, 83% of the
households rely on vended water. Since it is becoming obvious that it is unlikely that water agencies will
succeed in providing adequate and safe water to households, Ishaku (2010) calls for independent
surveillance to ensure the safety of vended water. To implement this, he advocated for official registration of
all vendors.
The research examined the activities of water vendors in Festac Town, Lagos, Nigeria; a community
that is completely not currently being served by public water services being provided by the WSA. It is
envisaged that the community might have to wait more than expected before it could access water facility
being provided by this agency. It therefore becomes imperative for the water vendors to be strengthened for
improved service delivery. Consequently, the study identified the source of water supply by the vendors,
assessed the level of patronage of vended water and identified the problems associated with water vending.

2. Material and Method

The study area, Festac Town, Lagos, Nigeria is roughly defined by UTM-31 coordinates 533409E, 713989N;
531727E, 718231N; 527512E, 718017N; and 528295E, 713512N (Fig. 1). It is located some 10 km south
west of Central Lagos. Its name was derived from the acronym FESTAC which stands for Second World
African Festival of Arts and Culture that was held in 1977. Specifically, the Town was designed as a
residential estate to house the participants of the festival (Apter, 2005). Coastal Nigeria is made up of two
sedimentary basins: The Benin basin and the Niger Delta basin. Festac Town falls within the Benin basin.

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With its high water table level, the basin is usually associated with salt water intrusion. Such intrusion
from the Atlantic Ocean has caused untold hardship to habitats and inhabitants of the coastal areas of the
country. Lagos has a tropical savanna climate that is associated with double maxima rainfall from April to

Fig. 1. Lagos State in Nigeria

July and October to November. Dry season is accompanied by harmattan winds from the Sahara Desert,
which occurs between December and early February. The average temperature in January is 27C (79F)
and for July it is 25C (77F). On average the hottest month is March; with a mean temperature of 29C
(84F); while July is the coolest month. Again, there is an increasing pressure on the ground water reserves
of the state as a result of massive influx of people from other parts of Nigeria to Lagos metropolis.
The research population is the total number of households and water vendors in FESTAC Town. The
town has an estimated population of 372,205 as projected from the 2006 figure of 328,975 (Nigerian
Population and Housing Census, 2006). It has 7 major Avenues. Considering the homogeneity of the
population, the Town was stratified for sampling purpose in accordance with the existing Avenues.
Therefore, 3 Avenues were randomly chosen for the study. It is also assumed that each Avenue has equal
population. This puts the population of each Avenue at 53,172. For the 3 chosen Avenues, the population is
estimated at 159,516. An average family size in Nigeria has been estimated at 7 (Fasakin, 2000; Olajuyigbe,
2010). This implies that there are 22,788 households in the 3 Avenues. For this research, a sample size of
1,139 amounting to 5% of the total number of households in the 3 Avenues were considered. A simple
random sampling technique was adopted in the choice of households to be interviewed in each Avenue
respectively. In the case of water vendors, 10 out of the 27 registered vendors were selected for the study.

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From our interaction with some informal vendors, it was gathered that there are about 135 informal
vendors in the study area out of which 47 were selected. To further avoid bias, questionnaires were
administered on these randomly selected water vendors in all the major avenues in the study area.

Fig. 2. The various Avenues in Festac Town, Lagos, Nigeria

The Lagos State Water Corporation is saddled with the task of meeting the water supply needs of the
inhabitants of Lagos State, including Festac Town. Although linked with the water main from this Corporation,
water release to the community has ceased several years back. Most people therefore rely on other sources
of water supply. Prominent among these sources is the vended water source. The implications of this on
human health are obvious.


Two main categories of water vendors were identified in the study area. They include formal and informal
vendors. Formal vendors are licensed by the National Agency for Food and Drug Administration and Control
(NAFDAC). They are more organized in the delivery of their services. To obtain operating license from
NAFDAC, they pay about USD1,3000. Water produced by these vendors is usually treated in a decent
environment. Apart from supplying water for commercial and domestic uses, they are also involved in the
production of bottled and sachet water. In addition, they have lined up taps where individuals and some
informal vendors fetch water on a commercial basis. They also have tanker trucks that convey water to other
end users. The source of their water is not affected by variation in season as they largely depend on
boreholes. On the other hand, the informal vendors are characterized of poor capital outlay. Their main
source of water supply is usually from the unimproved sources. Supplies are done with the aid of carts and
hand held cans. However, another emerging category of distributors are the re-distributors to formal vendors.
They are easily identified by their 2,000-litre blue or black plastic tanks. The tanks are either single or double
stationed at residential locations. For the purpose of this study, this category of vendors is considered as
informal.


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Plate 1: A typical sales point of a formal Plate 2: An overhead water tank servicing the
water vendor a formal water vendor

Plate 3: A typical 1-tank re-distributor Plate 4: A typical 2-tank re-distributor sales
sales point sales point

All the formal vendors obtain their water from boreholes (100%) which are more secured and hygienic (Table
1). They get it delivered using organized tankers that delivered water to sales point. Households come to buy
the water from these sales points. Formal vendors have their individual connection and do not rely on supply
from any government agencies. On the other hand, 66.0% of informal vendors obtain their water from
unprotected surface wells and get it delivered through the use of carts and shoulder held cans. 2.1% relies
on water from utility pipes from neighboring communities. This source is generally inefficient as supplies from
them are unreliable. 4.2% and 8.5% depend on boreholes and tanker trucks from the formal vendors. These
sources attract payment of fees. The concern here is the large proportion of the informal vendors that obtain
their water from uncovered well which had been defined as unimproved source (WHO and UNICEF, 2010).
Consumers patronizing these vendors are therefore susceptible to water borne diseases.

Table 1. Vendors main source of water supply

Source Formal Informal
Frequency % Frequency %
Covered well 0 0 9 19.1
Uncovered well 0 0 31 66.0
Borehole 10 100 2 4.2
Piped water 0 0 1 2.1

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Surface water 0 0 0 0.0
Tanker truck
(Formal source)
0 0 4 8.5
Total 10 100 47 100.0

Plate 5: A typical uncovered well from Plate 6: An informal vendor with his
where informal vendors obtain water shoulder held cans

Plate 3: A typical cart that are deployed by Plate 4: Informal vendors collecting water
informal water vendors to distribute water from a formal vendor

In the study area, most households (90.6%) depend on vended water for their needs. Only insignificant
proportion (9.4%) depends on other sources such as wells and boreholes. A further breakdown revealed that
informal vendors provide the largest percentage (74.9%) of the household water needs in this community.
This is explained by the fact that they are in close proximity to the residents. They provide door to door
services and are usually conversant with the water needs of the residents. However, as valuable as this
group of service providers is, it should be realized that most (66.0%) of them obtain water from uncovered
wells. Thus, there is an apparent danger of this source exposing households to water-borne diseases.


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Table 2. Main source of domestic water used by households

Source Frequency Percentage
Own Source
- Uncovered well 60 5.2
- Covered well 18 1.6
- Borehole 29 2.6
Formal source 179 15.7
Informal source 853 74.9
Total 1,139 100

The survey revealed that most households (51%) preferred piped water as they considered the adoption of
vended water as a mere coping strategy arising from the failure of the WSA at meeting their needs (Table 3).
There is also an apparent awareness of the danger inherent in the use of unsafe water among these
households. Again, 26% of them prefer borehole (Table 3). This relatively high proportion of households that
prefers borehole is explained by the apathy of most Nigerians towards public water supplies as they are
generally inefficient especially with respect to regularity. These households also believed that borehole is
more hygienic because there is less exposure between points of discharge to points of usage compared with
piped water system in the country that is usually characterized of leakages arising from pipe breakdowns. No
doubt, this constitutes a formidable source of water contamination. However, 8% still prefer covered wells.
Confirming the high awareness on water quality among households is the fact that only 15% of the
households prefer sources that are considered unimproved. Specifically, only 8% of the households still
prefer vended water (Table 3).

Table 3. Household Preference for Water Source

Source Frequency Percentage
Pipe Water 581 51
Borehole 296 26
Covered Well 91 8
Uncovered Well 23 2
Protected Spring 0 0
Unprotected Spring 0 0
Vended Water 91 8
Stream/River/Lagoon 23 2
Bottled/Sachet Water 34 3
Total 1139 100

The commonly reported water borne diseases by respondents in the study area are stomach ache (9.2%);
cholera (6.1%); diarrhea (10.2%); typhoid (18.6). No doubt, these proportions are high and call for concern.
Only 55.9% of the respondents have not been afflicted with one or more water borne diseases in the recent
time (Table 4). It is apparent that this high incidence of diseases cannot be unconnected with the fact that
vended water is usually unsafe since it is usually susceptible to contamination arising from poor sources and
exposure during haulage.


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Table 4. Types of Water borne Disease observed

Disease Frequency Percentage
Stomach Ache 103 9.2
Cholera 69 6.1
Diarrhea 116 10.2
Guinea Worm 0 0
Typhoid 212 18.6
None 639 55.9
Total 1139 100

It is imperative to consider the observation in Table 2 with households income. 8.3% of the respondents
earn less than USD65 monthly while 29.6% earn between USD65 and USD130. This means 37.9% earn
less or slightly above the minimum wage prescribed by the government for civil servants in Nigeria which is
USD117. In general, this category of earners is either comprised of retirees, lower level civil servants or petty
traders. 52.7% earn between USD131 and USD325 while only 9.4% earn above USD325 (Table 5). The last
category of income earners are either higher level civil servants or business men. In Nigeria, a covered well
costs about USD3247. Given the above income profile, it becomes evident that most residents might not
have sufficient fund to construct their own water source. This explains the high level of patronage of water
vendors as there are little or no other means of getting domestic water in this community.

Table 5. Level of income

Income (USD) Frequency Percentage
Less than 65 95 8.3
65 130 337 29.6
131 195 247 21.7
196 260 180 15.8
261 325 173 15.2
More than 325 107 9.4
1139

The quantity of water delivered and used by households is an important aspect of domestic water supplies as
it influences hygiene and therefore public health. Consequently, a relationship exists between access
component and quantity of water available per person per day. Such relationship measures the adequacy or
otherwise of the supply of domestic water from the main source among households. WHO and UNICEF
(2000) describe reasonable access as being 'the availability of at least 20 litres per person per day from a
source within one kilometre of the users dwelling'. However, it should be noted that this definition relates
primarily to access and should not necessarily be taken as evidence that 20 litres per capita per day is a
recommended quantity of water for domestic use. In realisation of this, Gleick (1996) suggested that the
international community should adopt a figure of 50 litres per capita per day as a basic water requirement for
domestic water supply. For this study, a minimum of 50 litres per capita per day was adopted. Based on this,
only 21.4% of the households could be said to have adequate access with respect to quantity. This could be
explained by the limited capacity of the vendors at meeting the water needs of these households.


237
Table 6. Water per Capital Use in liters

Quantity (L) Frequency Percentage
0 9 26 2.3
10 19 65 5.7
20 29 300 26.3
30 39 354 31.1
40 49 150 13.2
50 59 98 8.6
60+ 146 12.8
1139 100.0

The level of satisfaction derived by respondents from the water supplied was also gauged. Most households
(58.6%) are unsatisfied for their dependence on vended water as their main source of domestic water. They
considered this as a mark of social exclusion by government. However, 29.8% considered it as fairly
satisfactory. This category of respondents regarded this source as the only coping strategy for their
community. On the other hand, 11.6% judged the source as satisfactory. They deemed the source as
sufficient as they were able to meet their daily water needs. In addition, the water is considered as always
available at beck and call. However, irrespective of these conclusions, there is still a need to provide public
enlightenment on the danger of using this source of water since it is highly susceptible to contamination.

Table 7. Level of satisfaction of vended water among households

Level Frequency Percentage
Satisfactory 132 11.6
Fairly satisfactory 339 29.8
Not satisfactory 668 58.6
Total 1139 100.0

Most respondents felt that the water supplied by both formal and informal vendors is unsafe as it contains
some pollutants. 50.3% adduced such pollution to poor handling by vendors while 24.5% attributed it to
loading, transportation and offloading operations. In addition, 25.1% opined that the pollution might be as a
result of the poor condition at the sources of water supply available to vendors. These observations constitute
great challenge to the health of this community.

Table 8. Means of water pollution as perceived by the households

Pollution source Frequency Percentage
During loading and offloading 280 24.6
Poor handling of the vendors 573 50.3
Pollution at sources of water 286 25.1
Total 1139 100.0

In a bid to eliminate water borne diseases, it is desirable to treat water especially when taken from raw
source. Effort was made to investigate this practice among water vendors in the study area. Table 9
revealed that 85.1% of the informal vendors never treat their water. Such water is usually obtain from the well
and supplied to the households for consumption. Only those that receive their water from formal vendors
obtain treated water. However, 70% of the formal vendors treat their water always while 30% treat quite
often. In general, water from this source is usually well treated in a decent environment.

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Table 9. Water treatment habit of the vendors

Formal vendors Informal vendors Treatment
Frequency Percentage Frequency Percentage.
No, never - - 40 85.1
Yes, rarely - - 6 12.8
Yes, sometimes - - - -
Yes, often 3 30 1 2.1
Yes, always 7 70 - -
Total 10 100 47 100

Since willingness to pay for urban services is often regarded as a means of ensuring the long term
sustainability of such services, attempt was made in this study to gauge the willingness of the households to
pay for water service. Against the backdrop that most of them are not satisfied with their present situation
with respect to water source, a significant proportion (68.1%) of the households are willing to pay for water
services if supplied by government supported WSAs. However, 25.7% believed it should be government
responsibility. Such opinion must have been informed by the usual tradition in the country that made
domestic water provision a welfare service. Only 6.2% was not willing to pay for water services. The
implication of these findings is that maintenance and improvement of any public water services if provided for
the community would be feasible thereby enhancing sustainability of the system.

Table 10. Willingness to pay for water services

Willingness Frequency Percentage
Willing 776 68.1
Should be government responsibility 293 25.7
Not willing 70 6.2
Total 1139 100.0

4. Conclusion

In the face of absolute neglect by the government with respect to water provision, the trauma that households
would have passed through would have been enormous without the intervention of the water vendors. No
doubt, this source is defined as unsafe, yet it is unlikely that in the immediate future WSA will succeed in
providing adequate and safe water supply to most urban centres in Nigeria. The greatest concern in this
regard is the informal water vendors that largely obtain their supplies from unsafe sources. Despite the fact
that NAFDAC is giving licenses to formal vendors, sustainable solutions need to be developed especially in
the area of developing mechanisms to incorporate informal water vendors that have been making significant
contributions to water provision. The starting point in this process is that government should recognize the
role of these small-scale water providers in water delivery and offer them necessary support that could
enhance their performance. Since the formal water vendors obtain their supplies from improved water
sources, a secondary level of water supply mechanism could be developed by progressively linking the
informal vendors with the formal vendors. This would involve formal registration of the informal vendors by
NAFDAC. A major issue would be finance since informal vendors usually obtain their water free of charge.
With such registration, it is canvassed that government should assist them with soft loans that would enable
them obtain their supplies from the formal vendors. Such modality would assure quality control.
However, the most sustainable strategy would be to resuscitate the moribund water supply system (piped
water) earlier initiated by the Lagos State WSA in Festac Town. This would involve the replacement of the
damaged pipes and further reticulation of the otherwise un-served areas. At the inception, the project must

239
also provide for multi-prong water faucets from where the vendors could obtain their supplies. Following the
full completion of the WSA initiated water projects, water vending should be prohibited. A maximum number
of five years is suggested to achieve this goal.

References

Adekalu, K.O, Osunbitan J.A and Ojo O.E (2002), "Water Sources and Demand in South Western Nigeria: Implications for Water
Development Planners and Scientists", http://www.science.com/science
Akpan, A.J (2005), SLGP Consultant Report: The Role of Water Vendors in the Apapa/Iganmu, Alimosho, Shomolu, Ajeromi and
Ifelodun Areas of Lagos, Retrieved on 26-06-2011 from www.slgnigeria.org/806pdf
Fasakin, J.O., 2000. Willingness to pay for the services of commercial motorcycle in Akure, Nigeria, Cities, 17, 447-452.
FRN, WSS (2000) Federal Republic of Nigeria (FRN), Water Supply & Sanitation (WSS) Interim Strategy Note.
Gleick, P.H (1996), Basic Water Requirements for human activities: meeting basic needs, Water International, 21, 83-92.
Ishaku, H.T, Peters, A.A, Haruna, A and Dama, F.M (2010), The Role of Private Water Vending in Nigeian Peri-Urban Informal
Settlements: Implication for Policy Makers, Journal of Water Resource and Protection, 2, 1082-1087
National Population Commission (2006): Lagos State Claim on the Provisional Result of the 2006 Census is Unfounded", Archived from
the original on June 23, 2007, Retrieved 2011-03-29.
Olajuyigbe A.E (2010), Attributes of Domestic Water Sources in a Rapidly Urbanizing State Capital in a Developing Economy, Journal of
Social Sciences 6 (2): 212-220
Sullivan, C.A., Meigh, J.R., Giacomello, A.M., Fediw, T., Lawrence, P., Samad, M., Mlote, S., Hutton, C., Allan, J.A., Schulze, R.E.,
Dlamini, D.J.M., Cosgrove, W., Delli Priscoli, J., Gleick, P., Smout, I., Cobbing, J., Calow, R., Hunt, C., Hussain, A., Acreman,
M.C., King, J., Malomo, S., Tate, E.L., ORegan, D., Milner, S., Steyl, I. (2003), The Water Poverty Index: Development and
Application at the Community Scale, Natural Resource Forum, 27: 189-199.
UNDP 2003: The Millennium Development Goals: Progress, Reversals and Challenges. A global update on where the world stands in
meeting the MDGs http://www.undp.org/mdg/MDGBooklet.html
Whittington, D, Lauria, D.T and Mu X.M, "Paying for Urban Services: A Case Study of Water Vending and Willingness to Pay for Water
in Notice, Nigeria," Full text via cross Referenced View Record in Scopus, 1989.
WHO (2006) "Progress on Drinking Water and Sanitation, a 2008 Millennium Development Goal MDG Assessment on progress for
Children: A Report Card." www.childinfo.org/water.html
WHO and UNICEF (2010): Progress on sanitation and drinking water: 2010, WHO Press, Geneva, Switzerland.
WHO and UNICEF (2000), Global Water Supply and Sanitation Assessment 2000 Report, WHO, Geneva. From
http://who.int/water_sanitation_health/monitoring/


241

Community Radio Movement in India Few Aspects Requiring Attention

Abhijit Bora

Tezpur University, Assam, INDIA
E mail abhijitbora71@rediffmail.com

Bala Lakhendra

Tezpur University, Assam, INDIA
E mail lakhendra_bala@tezu.ernet.in

Doi: 10.5901/mjss.2012.03.01.241

Abstract The Community Radio movement in India was ushered in with high hopes and expectations in the 90s decade of the
last century. It was foreseen as a convenient and comprehensive instrument of development of the masses at grassroots level.
However, over the years several factors and developments have undermined the original primary goals of the medium and
diverted it towards some not so important goals with passage of time, thereby depriving the organizations and citizens
concerned about deriving developmental benefits out of the medium. The author makes an effort at trying to analyze why this is
happening while at the same time discussing a brief development of the medium in the world of mass communication, specially
in the Indian subcontinent. It is also sought to be seen if the Government of the country is somewhat wary of fully opening up this
media for preventing release of a more mass-oriented media than other media. The author also attempts at highlighting the
mediums significance and integral connection with development communication and advancement of the masses at the
grassroots level of the society. The write up further includes an introduction to the mediums emergence in the western world.

Keywords: Community Radio, Public space, airwaves

1. Introduction

''Community radio, rural radio, cooperative radio, participatory radio, free radio, alternative, popular,
educational radio. If the radio stations, networks and production groups that make up the World Association
of Community Radio Broadcasters refer to themselves by a variety of names, then their practices and profiles
are even ore varied. Some are musical, some militant and some mix music and militancy. They are located in
isolated rural villages and in the heart of the largest cities in the world. Their signals may reach only a
kilometer, cover a whole country or be carried via shortwave to other parts of the world. Some stations are
owned by not-for-profit groups or by cooperatives whose members are the listeners themselves. Others are
owned by students, universities, municipalities, churches or trade unions. There are stations financed by
donations from listeners, by international development agencies, by advertising and by governments.'' Waves
for Freedom". Report on the Sixth World Conference of Community Radio Broadcasters. Dakar, Senegal,
January 23-39, 1995.
Community Radio (CR) is a type of Radio service that caters to the interests of a certain area,
broadcasting material that is popular to a local audience but is overlooked by more powerful broadcast
groups. The term has somewhat different meanings in the United Kingdom, the United States, Canada, and
Australia. In the UK, it originated in the many illegal pirate Radio stations that came about from the influx of
Afro-Caribbean migrants in cities such as London, Birmingham, Bristol, and Manchester in the 1970s.
Therefore, "Community Radio" remains synonymous with "Pirate Radio" for many people there. In
America, it is more commonly a non-profit and non-commercial service, often using licensed class D FM
band transmitters, although pirate Radio outlets have been operated in many places. Canadian and
Australian CR stations operate somewhat similarly to their American counterparts.

242
One of the most famous examples of CR is miners' Radios in Bolivia. They were funded mainly by the trade
unions and operated mainly at a local and regional level. There were more than 25 such Radio stations
during the period from about 1960 to 1985. Changes in government policy eliminated many unionized mining
jobs after 1985 and some of those stations were sold or ceased to exist. In spite of many difficulties eight or
ten stations continue to broadcast.

2. The Asian Context

In the Asian context, two types of CRs are quite prominent than others.
First the service model in which the CR programmes are components of a larger system. Programme
producers visit the field and produce programmes with the community which are broadcast over stations of
the national or regional networks. Here CR activities are part of a larger system. The development broadcast
units attached with the national or regional broadcasting institutions of India, Indonesia, Papua New Guinea
are examples of CR Programme Service Model. Programme producers of these organizations go to the
community to produce such programmes which are broadcast over national and regional networks.
Second In the other one the station is situated in the locale itself so that it can be physically close
enough to the listeners or the target audience group itself. Such stations should practice the policy of open
door system by which better community participation can be ensured as people can just come in and air their
programmes. Going beyond the usual routine broadcasting programmes, they may also organize community
events, programmes etc. for making itself very much a part of the local life. So, the programme producers of
these stations might be called in to play several important roles like organizing events, live recording of
events etc. in addition to their normal duties of broadcasting. This is in a way necessary for a better and more
interesting programme production for the community. Usually, these stations operate on a low budget with
fewer staff for various jobs. In this regard Mahaweli Community Radio (MCR) is a great success story and a
learning resource for anyone in this business. This station was set up as a means of providing the people
who were evacuated and rehabilitated from the Mahaweli river basin in Sir Lanka for construction of a
multipurpose dam there. The project aimed at providing the rehabilitated people with messages of
development including new professional skills, coping with a hostile environment among others. It proved to
be highly successful and till date remains an inspiring source for all of us who are in support of spreading CR
stations across the length and breadth of the country.
The MCR was basically a brainchild of Knud Ebbesen, who during a visit to this country proposed that a
CR should be set up alongside the Mahawelli River Development Project (MRDP) to function under the
overall framework of Sri Lanka Broadcasting Corporation (SLBC) though would be an autonomous entity for
all practical purposes.
CR aims at enhancing participation of the people in the development process and capacity building in
rural areas, through education. It provides opportunities to the people to upgrade their skills and enhance
their creative talents, besides preserving and promoting the traditional wisdom, knowledge and skills.
Thereby they help to promote and project the local language, arts, craft, culture and traditions.
CRs bring within easy reach of the rural population, topical information in areas of agriculture, social
welfare, education, health and environment and help in creating rural networks for the rural cottage and
village industry. Access and participation are the foundations of CR. A CR which is well-integrated with the
community becomes a forum where community members as well as programme producers can have
continuous access to and have dialogues with each other. For the programme producers mainly, this
opportunity provides an ideal environment in which one can be more spontaneous and flexible in responding
to the needs of the listeners. In India, the campaign for legitimization of CR has been going on since almost
the past decade. The Supreme Court of India judgment of 1995 that "airwaves are public property" came as
an inspiration to groups across the country.
The World Association of Community Radio Broadcasters (AMARC) declared principle is that CR

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responds to the needs of the community it serves, contributing to their development within a progressive
perspective in favour of social changes. CR strives to democratize communication through community
participation in different aspects of Radios activity which may take various forms in accordance with each
specific social context.

3. The Indian Scenario

CR in India at the moment stands on the threshold of fundamentally changing the basic notion of the role
media can play in the empowerment of people. But a major barrier continues to exist in the form of the lack of
legislative framework, perhaps fuelled by the resistance of established interest groups.
Although the need for CR had been a long felt one, this judgment of the Supreme Court gave an
important and well-timed fillip to its supporters.
In September 1996, VOICES, an NGO brought together more than sixty people representing All India
Radio (AIR) the government-financed autonomous Radio broadcasting organization with a pan-Indian
presence - universities, NGOs involved in development activities, journalists, and members of the
broadcasting establishments to debate the issue and formulate a strategy to pressurize the government to
act upon the judgment by setting up a legislative framework for introduction, encouragement and facilitation
of the CR concept.
The result was the Bangalore Declaration on Radio. While advocating that AIR should allocate regular
airtime to community broadcasting in the interim period, the group also requested the government to grant
licence to set up CR stations to NGOs and other non-profit making organisations.
Since then, AIR has made token efforts in this direction but the current situation remains that no
regulatory framework has yet been set up for non-profit agencies. The first privately-owned FM Radio station
that went on air in July 2001 (ironically, in Bangalore), was a commercial one.
There are several definitions available in the textbooks as well as the academic circle of mass media
about CR a medium that has immense potential to usher in peoples participation with all aspects of the
system right from programme content creation to airing them.
It should suffice to say that a CR is a medium usually owned by a community, run by representatives
chosen or elected by the community broadcasting programmes which are basically concerned with the
locally-important issues and problems. It is a not-for-profit media tool normally managed with funds from
donations, grants from public trusts, underwriting of costs of programmes by companies or other business
concerns from time to time.
The degree of participation may range from being involved in production, decision-making, planning
levels of the system of communication. Self-management is a more advanced form of participation and here
the community is totally involved and responsible for the communication system.

Whatever definition or description is there about the CR system, the prime aim of it is to broadcast
programmes targetted at uplift of the immediate community in which it is set up and for whose welfare it is
committed and responsible to carry out the programmes.
It was with great hopes and anticipation that the masses concerned in the Indian sub continent
welcomed the 1995 Supreme Court of Indias landmark verdict that airwaves were public property and no
party or agency even including the Union Government of India (GoI) was entitled to claim ownership right to it
and not open it up for usage by interested people for a positive cause.
Even this verdict was the result of a long-drawn struggle for many years by a bunch of like-minded NGOs
who could foresee the potential of this medium a long time back and thereby was demanding freeing of
airwaves of the country. It was dream come true for the people concerned.
And in December, 2006, the Ministry of Information & Broadcasting (MIB) of GoI had taken things to a
new high by announcing that even NGOs and voluntary organizations with a good track record would be
allowed to apply for licence and set up CRs.

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However, over the years things are not moving smoothly exactly on the way it was expected to initially
because of several factors. This write up attempts at looking at these issues to what went wrong and how it
can be put back on the right track again so that in the ultimate analysis it is able to contribute to the optimum
level to the society which is pinning its hopes on the system.

4. Original Target Group is Bypassed

The All India Radio (AIR) website defines target groups for operating CRs in these categories such as ---
Non-profit organizations like civil society and voluntary organizations registered under the societies act and
having a proven record of at least three years of service to the local community at the time of application,
State Agricultural Universities (SAUs), Indian Council for Agriculture Research (ICAR) institutions and Krishi
Vigyan Kendras along with well-established educational institution.
We personally believe that the first category of applicants should have been given more importance in
the entire plan so that masses at the grassroots level could also have been involved directly in the process of
development by means of participatory communication.
But a study of functional CR stations and Letter of Intent holders speak a different story. (Please refer to
Table No I & II)
It becomes quite clear from the above data table that the original target groups have been left far
behind in the run up to acquire licence for CRs and others are taking more advantage of the opportunity.
Of course, it is not that educational institutions, agriculture universities, hospitals, other institutions
engaged in different kinds of educational programmes are not going to serve the purpose of disseminating
meaningful messages to the masses. Besides, as there is no official bar for them in acquiring a licence and
operate a CR station we cant blame them for doing so.
Only thing is that NGOs, voluntary organizations (VOs) who are formed by the masses themselves and
are directly involved in the business of running a CR station in remote grassroots locations are not being able
to reap the advantages of this medium with so much of potential.
Here, there can be an interesting side to it. The MIB probably is not at all interested in opening it up to
the NGOs, VOs or peoples organizations in reality even though officially it cant be declared.
The GoI is taking a safe bet in being comfortable with dishing out licence for CRs to educational
institutions from school to university level, Krishi Vigyan Kendras as these institutions are considered safe
places without ever fomenting troubles for the government.

5. No News & Current Affairs for C.R. in India

Despite the big publicity over empowering the community through CRs, the MIB till date does not allow this
medium to air news and current affairs programmes. At the same time private satellite and cable TV channels
are allowed to do the same without any hitch. There may be two sides to this aspect.
First of all, the GoI may be scared of the apprehension that if the masses are served news and current
affairs programmes from sources independent of government control the true picture of the society would be
reveled to them and it shall indirectly lead the people towards a rebellious path. That too at a time when the
Maoists and secessionists are already creating a lot of trouble in several hundred districts of the country.
Also, there might be a feeling on the parts of the MIB or for that matter the GoI that the masses at the
grassroots level who are the main target audiences of CRs are not capable listening to and absorbing news
and current affairs programmes and these would be sheer waste. Ironically this happens at a time when they
same citizens are considered responsible enough to exercise their voting rights.
Secondly, and more importantly, all the important political parties irrespective of their ideology whenever
they come to power at Delhi are never in favour of a complete decontrol of such a convenient and
widespread true mass media which can be utilized for pushing through those parties agenda to the masses

245
in the name of government schemes and developmental programmes.
And in the name of allowing CRs to be set up the MIB is in reality encouraging setting up of such
stations at schools, colleges and universities, hospitals among others.

6. Lack of Awareness Among the Target Groups

On the other hand this is also true that there has not been enough publicity campaigns or drives about
making the masses aware of the long term benefits of this medium. Even the organizations dedicated to this
cause have not been able to do anything much in this direction.
Yes. It is true that the Commonwealth of Educational Media Centre, Asia (CEMCA) at New Delhi
organizes a series of state and regional level consultations from time to time for stakeholders concerned for
creating awareness as well as helping interested organizations through the whole process of acquiring a
licence and operating a CR. Yet we believe these are not adequate enough.

7. A.I.R. Experience in CR

It may look highly surprising to many of us that it was the A.I.R. which set up five CRs in different locations of
the north-eastern region. However, as it usually happens with any government bureaucratic set up, these
stations are not serving the purpose they were actually set up for in the first place.
A senior official of AIR Guwahati in Assam (a state in India tom which this author belongs to) who is
known to this author was appointed as the head of one such station in a small town in Meghalaya (a
neighbouring state of Assam in India) called Williamnagar close to inter state border with Assam. But he
confided to me that he felt out of place and hapless as his mother tongue was different from the tribal dialect
which was dominantly prevalent in that place. He admitted that he could hardly do anything worthwhile during
his stay of about three years there. The experiences of the officials in the other four stations would also not
be anything positive.

Table 1.

Total no of operational Community Radio stations up to August 31
st
, 2011 113
***
Percentage of educational instituions of various catgeories and disciplines having
operational CRs
67 %
Percentage of non goernmental organizations (NGOs) / Voluntary Organizatins dedicated
to public welfare causes having operational CRs
14 %
Others 19 %
Applications for CR licence received since 2004 till August, 2011 913
Letter of Iintent issued 349 applicants
Grant Of Permission Agreement (GOPA) sanctioned to 149 applicants 149 applicants
Number of rejected applications 295

Source: Website of Ministry of Information & Broadcasting, Government of India

*** This category includes postgraduate educational institutions like universities of the state and central government, TV
and Film institutes, Open and Distance Learning university, private colleges of liberal arts and science and technology.
The percentage of private colleges and trusts running CRs in various places of the country is comparatively more than
those under state or Government of India supported institutions.


246
The above table is self-explanatory for all as it shows in reality how the original ambitious plan for
empowering NGOs and voluntary sector organizations with grassroots links has been sidelined in the
process and there is hardly any protest against this diversion.
Further, the table also highlights the existence of a widespread disparity in the number of total
operational CR stations in different regions. It is revealed by the above table that few states in the South and
West of the country are being able to avail far more benefit of the scheme whereas in the north (except Delhi
and Uttar Pradesh) there is nothing much to write home about states in the eastern region.
That there is no balance in the governments efforts in streamlining such a powerful and convenient
medium of immense potential for grassroots level empowerment to be spread across the country in an even
manner is a cause of concern.
This further reflects the low level of awareness of the society about this new and emerging medium in
different regions of the nation.

8. Revenue for CRs Sustainance

The MIB has decided to allow a maximum of five (05) minutes of advertising per hour of broadcasting in CRs.
However the rate of advertisement is very low compared to market rates. Even if we assume that these CRs
are not-for-profit broadcasting media yet such a low rate is hardly of any use to the organizations operating
them for even basic survival.
Of course this is a different matter for educational institutions whether in private sector or State
Agricultural Universities, universities, colleges, Krishi Vigyan Kendra etc. where they can arrange funds for
operating the CR from other sources.
The current rate of the Directorate of Advertising & Visual Publicity (DAVP a GoI organization)
advertisements for CRs is Rs 1 per second that translates into Rs 300/- per hour if we assume that they
would receive advertisements for full hours of broadcasting which may not be the case always.
Besides, the CR concerned has to have at least three months of continuous operation with at least two
hours of programme broadcast everyday before becoming eligible for empanelment with DAVP. Again, the
request for empanelment would be considered only on a case-to-case basis by DAVP.
However, the organizations can seek funds for operating the station from multilateral agencies
(including overseas ones with necessary Foreign Currency Regulation Act clearance) with the following
conditions ---
Revenue generated from advertisements & announcements can be utilized only for the operational
expenses & capital expenditure of CRS.
Permission holder shall be required to submit their audited annual accounts to the Government showing
clearly, the income, expenditure incurred, assets & liability in respect of CRS.
But we believe that it would have been better to have in place a scheme from the MIB for providing at
least a one time seed money for the intending organizations to start a CR station.
Also, the MIB may seriously consider reserving a certain percentage of the publicity campaign budget
estimates of all schemes of Central government departments, institutions etc. to be given to CR stations for
enhancing their financial status.

9. Growing Numbers

A look at the list of applications for grant of CR licence, those who have been granted Letter of Intent (LoI)
the first step towards consideration of licence for a CR followed by Grant Of Permission for Agreement
(GOPA) and the rejected cases reveal a pattern which only reiterate whatever aspects we are discussing
here.


247
Table 2. Status of l.o.i. Holders for c.r. (august, 2011)
Total nos 349

Educational
institutions
Kvks Ngos Sau Hos
Pital / medical inst
160 17 51 3

- Other categories were taken into consideration.
According to the MIB regulations about the whole business of CR operations, a Letter of Intent (LoI) is issued
once the SACFA clearance is acquired by the applicant following approval form the Wireless Protocol
Committee (WPC) of the Ministry of Communication and Information Technology, GOI. This does not mean
that they are cleared to operate a CR.
The next step is to obtain and sign the Grant of Permission Agreement (GOPA) following which
Wireless Operating Licence (WOL) is issued from the WPC and frequency status is allotted to the applicant.
Within three months from issue of the WOL the station has to be made operational.
If we look closely at the three tables of LoI and GOPA clearance holders and rejected cases, it
becomes clear that the NGOs have been getting a raw deal in the whole business.
It becomes more curious and interesting that in the Rejected List table it is seen that the percentage of
NGOs is comparatively much more than those in the LoI, GOPA and Operational CR list.

10. Possible Solutions

Coming back to the question of NGOs not being able to utilize such golden opportunities we have a couple of
suggestions in this direction which might help us in improving the situation in the near and distant future.
First of all the government, MIB to be specific should emphasize on more publicity to these provisions
for the benefits of NGOs and voluntary organizations so that they can reap benefit of the scheme.
Secondly, there is far higher responsibility for the organizations and NGOs who are well-established
and engaged in operating a CR successfully till date. That is they must shoulder the responsibility of
making this awareness spread to the widest possible level of the society and the grassroots. Otherwise we
would be lagging far behind in the way towards empowerment of the society as a whole.
And as successful NGOs, voluntary organizations as well as being role models of the society they have
a social responsibility for carrying out such a kind of campaign for the benefit of everyone at least the
grassroots people.

11. Reflecting a World View of Community Members

As we all know that it will be quite irrelevant if a CR dishes out something which is only remotely connected
with the community. Thus, a CR through its well-planned and arranged set of programmes, must present a
comprehensive view of the community life including how it is influenced either by forces within or outside the
community. It is not enough that simple vignettes of community life here and there are presented now and
then in disjointed fashion.
The method can be strengthened by these steps ---
Ideally CR broadcasters are expected to be members of the community and thus speak and
breath the same language, culture etc. So they are also supposed to be able to understand the communitys
problems and empathize with them and have a comprehensive picture of their aspirations of the members.
They must therefore be able to articulate the feelings, problems and aspirations of the community and relate
these to a wider life outside the community.
The CR is involved with the communitys everyday life directly and indirectly and both of them are

248
affected and influenced considerably by each other. That is why the programmes aired by the CR must
reflect the life of the community and the community members must also play an active role in running the
CRs affairs. This high degree of interdependence and interactive relationship actually is the secret of
success of CRs and make CR broadcasting so relevant to the needs of the people.
The CR must articulate community life. Certain things in the community might be simply
taken for granted by the people. But many a times these small but important things make a major difference
like reminding people of s
CR must present a comprehensive view of the community with all its glory and problems
which can be presented in numerous styles depending upon the innovativeness and creativeness abilities of
the producer or programmer. For example reporting of events of a news programme, discussions of issues
in public affairs programmes, articulation of problems and aspirations in drama presentations, reflection of
our ways of living through musical and balladic presentations.
Even though these programmes individually cant bring in the expected achievement in a short time, a
combined effort of all the presentation styles and aspects can actually acquire the results over a period of
time or in the long term assessment. We might be able to achieve those results with a logical and judicious
combination of all these programmes to present an effective, overall and comprehensive scenario to the
community members.
CR must also present a view in relation to the world outside of the geographical area of the
community. A community becomes dynamic mainly because of its interactive relations with its environment
and other communities. But interaction among communities can only be possible if there are open channels
of communication among them. These channels are provided by the structures of communication networks.
Hence, networking becomes very necessary in community broadcasting.

12. Development Communication and C.R.

The path that theories of development communication have taken bears an eerie resemblance to the one
taken by developmental theory at large. For decades, they have rested on presuppositions that have little or
no bearing with empirical observations. These mimic in different ways the following pattern.
The rural, the marginalized and the disenfranchised need to be helped. And this help must come in the
form of outside intervention. This help can take the form of aid, technology, education, political rights, and in
the case of communication specifically, ideas and information. This overall approach of exogenously induced
change assumes the receivers to be a monolithic mass of morons who are incapable of articulating their own
needs, their own notions of change and their own definitions of development.
They are the perfect sponges, absorbing all the wonderful messages directed at them, and whether
through the two-step flow (E.M. Rogers cited in Hartmann et al., 1989: 26) or by the sheer strength of the
great information multipliers (W. Schramm cited in Hartmann et al., 1989: 26) characteristic of the media,
incorporate them into their daily lives.
As a result of this external support, the world becomes a more equitable place sooner rather than later.
And all of humanity is indebted to the development and developmental communications experts for eternity.
Unfortunately, the world has not changed much. Basic inequities remain (where they have not increased),
and so do similar theories. However, what has emerged is a more sagacious view. Real societies are too
complicated and local conditions too varied for universal solutions to be applicable, though the dimensions of
the problems of development are now better understood.

A challenge to this dominant, top-down trend in developmental communication has been present for
some time, but has not been able to influence communication policy planners in the third world countries.
This alternative view outlines a framework where the status distance between teacher and student,
communicator and audience, is abolished. Communication functions more as a dialogue in which the former
learns as well as teaches, and the latter is enabled to understand better the causes of his oppression and

249
thereby to do something about it.

A constructive dialogue can take place only amongst equals. And to be able to do so implies the
partnership and participation of the entire community in all processes of media production and dissemination.
It is this approach that CR actually exemplifies.
CR also strikes at the heart of the tool with which status quo in a society is maintained - the control of
knowledge. Those who have access to such knowledge are loath to give it up. And to give up control over
something as important as broadcasting can be very threatening to existing power structures.
The limits of representative democracy and of broadcastings representative public service role within it
are essentially the same; power accrues to the representatives, not those whom they represent.
Moreover, media producers thrive on the mystification of the production process and its associated
technology. The possession of this specialised knowledge grants them a position of power. In practice,
production processes can be carried out by anyone with just basic training.
When production shifts to the community, the demystification of technology occurs simultaneously. No
longer can technology remain distant from the people that it is expected to serve. No longer is the process an
esoteric one to which a privileged few have access. No longer can the dominant grammar of the media be
sustained, for now it can be redefined by the audience itself.
This process then results in the emasculation of the dominant media production industry and its
proponents. Consumers of a particular product becoming producers of the same is the worst nightmare of
those who gain from established economic structures. It has also been observed that knowledge of the
operational aspects of mass communication increases interest in the media, and creates a critical awareness
in listening to the messages they carry.
An audience that is critically aware of the way in which media products can be designed consciously to
suit a certain end and may not necessarily represent the truth, is a dangerous one to contend with for those
who stand to gain by it. At the same time, if communities are empowered enough to create an alternative
media of their own, the mainstream media industry stands to lose the very basis on which it exists, its
consumers. It is an unequal world, and it is in the interest of some to keep it so.
Against the argument that this is the sole barrier to community media being widely propagated, is the
one that even if these legislative reforms were to take place, the deeply embedded hierarchical social
structures within which CR would have to operate would mitigate the beneficial developmental effects of it.
While lobby groups and advocates of community media continue to pressurize the government to formulate
laws that would make free the airwaves in the truest sense of the term, it is the second hurdle which is
infinitely more difficult to overcome.
Hierarchies have an inherent characteristic of being extremely tenacious. Indeed, change of social
structures occurs over time and may only take place when the benefits of such a change for all are made
obvious to all. In a similar vein, it is possible that the group currently influencing public policy on broadcasting
in India will not lose as much power as it fears.

13. Conclusion

The CR does not seek to replace other forms of broadcasting. It simply gives a voice to the peripheral
millions. A three tiered broadcasting model, with the national, private and community media playing
complementary roles, has a precedence in other developing nations and much can be learnt from such
systems. When CR does take off, it will be a rewarding exercise to observe the ways in which its active
presence can be causally related to an improvement in the condition of the marginalized sections of society.
However, while it may be tempting to romanticize the power CR grants and the benefits it can bring, it is
important to understand that it must only be as useful as the community wants it to be.
To use the exogenous we must teach people how to use this new tool approach would be to merely
replicate the follies of the past. Organizations and lobbyists, who are impatient to use this tool in what would

250
hopefully be a more liberal environment, must be careful in this regard. If it is to be a true CR, it must be
wholly and completely left in the hands of the community concerned. Even training and workshops to
familiarize members of communities with the technology must facilitate an independent interpretation of the
way it can be used. CR can be successful only if it liberates people to communicate with themselves. In their
own language, in their own form and on their own terms.

References

Pavarala, Vinod & Kumar, Kanchan, Enabling Community Radio : Case studies in national broadcasting policy, MICA Communications
Review, Vol. 1, No 3, 2004, MICA, Ahmedabad.
Sreedhar, R, Building Community on the airwaves, Op-Ed page (09), The Indian Express, September 14, 2005.
Media Pluralism in Asia : The role and impact of Alternate Media, Edited by Kalinga Senevratne, AMIC, Nanyang Technological
University, January, 2007.
Wedell, George & others, Radio 2000 - opportunities for public and private radio services in Europe, (a report prepared by the European
Institute for the Media on request of The European Broadcasting Union, 2000).
Aitchison, Jim, Cutting edge Radio how to create the worlds best radio ads for brands in the 21
st
century, Prentice Hall, 2002).
Pati, Jagannath, Media & Tribal Development, Concept Publishing House, Delhi 59, (2004).
Mouli, AS Chandra, Radios tryst with time, P 58, Karnataka University Journal of Communication, Dec 2003,
Frontline, December, 2007.
Public Service Broadcasting in the age of globalization, Edited by Indrajit Banerjee, Kalinga Seneviratne, AMIC, Singapore Publication,
2006.All India Radio website window on Community Radio.


251

Political Changes in Albania and Macedonia under European Union Progress

Ismail Zeneli

Dean of Faculty of Law, South East European University
Tetovo, R. Macedonia E- mail: i.zejneli@seeu.edu.mk

Alba Dumi
Dean of Graduated School Ismail Qemali University
Vlora, Albania E- mail: besi.alba@yahoo.com

Doi: 10.5901/mjss.2012.03.01.251

Abstract The topic on the current integration phase of the Republic of Macedonia after the completion of the questionnaire and
the commencement of the ratification process of the Stabilization-Association Agreement between the Republic of Macedonia
and the European Commission by national assemblies of the EU member states. In this phase, institutional reforms are
fundamental and within those the establishment of a new modern, functional, democratic European administration is a crucial
pre-condition. Since 1991, and especially after the endorsement of the Ohrid Framework Agreement in 2001, Macedonia has
been clearly and unambiguously determined to pursue the strategic orientation in order to integrate in the EU. After the
endorsement of the Ohrid Framework Agreement, Macedonia has undergone a long and complex way of reforms towards its
European integration goal. Some of the steps include the Stabilization and Association Process, endorsement of the Stabilization
and Association Agreement and the accomplishment of the application questionnaire as a candidate country for EU
membership. The country is currently going through a phase of two parallel processes that converge to the countrys full
membership in the EU: the process of ratification of the Integration Agreement between Macedonia and the EC as well as the
process of implementation of remaining reforms in order to accomplish the whole set of membership criteria.
1

Keywords: Copenhagen Summit, Framework Agreement Stabilization and (SAA), European Commission, European Union
Coordination Systems (EUCS).

1. Introduction

The fully standardized criteria for membership in Macedonia and Albania on EU were most accurately
determined by the Copenhagen Summit in 1993. These criteria which are now known as Copenhagen
Criteria are the three main pillars for gaining full membership in the EU and they include: political, institutional
and economic criteria. For half a century, European Union-(EU) has pursued ever-deeper integration while
taking in new members. Its marked as an important step in relationship deepening between EU and Western
Balkans-(WBs) where Albania is part of benefit from a share of multi-beneficiary funds for competitiveness,
SMEs, energy efficiency and banking sector regulation. This presentation handles out these main issues: EU
policy and the enlargement process regarding Macedonia and Albania inspecting the way and progress done
up to now by our country, the main features of our national EU-coordination system, concluding in a SWOT
Analysis of EU-coordination system in Albania. Albania was the last of the central and eastern European
countries to embark on democratic and free market reforms, and it started from a disadvantaged position due
to Hoxha's catastrophic economic policies. The democratically elected government that assumed office in
April 1992 launched an ambitious economic reform program meant to halt economic deterioration and put the
country on the path toward a market economy. However, the collapse of the infamous pyramid schemes in
1997 and the instability that followed were a tremendous setback. The country subsequently recovered and is
1
Referred to as "the former Yugoslav Republic of Macedonia" by the EU

252
aggressively pursuing its Euro-Atlantic integration agenda. In June 2006, the Albanian Government signed a
Stabilization and Association Agreement (SAA) with the European Union, the first step in the EU accession
process.
In April 2009, Albania became a NATO member country and at the same time submitted its application
for EU membership, both considered major milestones in the countrys history.
Albanias economy has improved markedly over the last decade; reforms in infrastructure development,
tax collection, property law, and business administration are progressing. Despite the effects of the recent
global financial crisis and economic downturn, the country has outperformed many other countries in the
region. During 2006-2009 the average growth rate was 5.5%, while for 2010 the Government of Albania
anticipated growth reaching 4.1% (the IMF predicted 2.7%).
As with the Mediterranean countries in the 1980s, the former communist countries in Central and
Eastern Europe had just emerged from dictatorship and wanted to consolidate their new democracies. They
also wanted to join the project of European integration and ensure they did not fall back into
the Russian sphere of influence. The EU, and NATO, offered a guarantee of this and the EU was also seen
as vital to ensuring the economic success of those countries. The EU's desire to accept these countries'
membership application was however less than rapid. The collapse of communism came quickly and was not
anticipated. The EU struggled to deal with the sudden reunification of Germany with the addition of its poorer
17 million people and, while keeping its monetary union project on track, it was still at that early stage
pointing the EFTA countries in the direction of the EEA rather than full membership.
The former communist states persisted and eventually the above mentioned issues were cleared. The
US also pressured the EU to offer membership as a temporary guarantee; it feared expanding NATO too
rapidly for fear of frightening Russia. Although eventually trying to limit the number of members, and after
encouragement from the US, the EU pursued talks with ten countries and a change of mind to help to offset
slightly the influx of large poorer member states from Central and Eastern Europe.
2

The less developed nature of these countries was of concern to some of the older member states, who
placed temporary restrictions on the rights of work of the citizens of these new eastern states to their
countries.
3
The distribution of competences in various policy areas between Member States and the Union is
divided in the following three categories:


Enlargement of the North Atlantic Treaty Organization (NATO) is the process of including new member states
in NATO. NATO is a military alliance of states in Europe and North America whose organization constitutes a
system of defense. Countries wishing to join have to meet certain requirements and complete a multi-step
process involving political dialogue and military integration. The accession process is overseen by the North
Atlantic Council, NATO's governing body. These nations were first invited to start talks of membership during
the 2002 Prague summit, and joined NATO. Most recently, Albania , Macedonia and Croatia joined on April
1, 2009, shortly before the 2009 StrasbourgKehl
4
summit. Future expansion is currently a topic of debate in
many countries. Cyprus and Macedonia are stalled from accession by, respectively, Turkey and Greece,
pending the resolution of disputes between them.

2
NATO Progress report 2010
3
Part I, Title I of the consolidated Treaty on the Functioning of the European Union, year 2010
4
2009 StrasbourgKehl
4
summit, pp 14,25,63

253
Table 1. Part I, Title I of the consolidated Treaty on the Functioning of the European Union

2.1 The Europe Democracy and Human Rights

Europe is the greatest project ever happened in the history. It was a miracle what is happened during the last
century in our continent after two worldwide wars. The Union of Europe was necessary in the point of view
that this will lead up to the strengthening of the relationships between countries. Reinforcing the democracy
and the human rights is the best way to carve the peace. We do not ever forget the philosophy of the famous
philosopher Edmund Burke said: Thither where the legal state cease, its the tyranny that originates. This is
the aim of the Council of Europe. Most of the time, the two processes took place in parallel.

Exclusive competence:

"The Union has exclusive
competence to make
directives and conclude
international agreements
when provided for in a Union
legislative act."
the customs union
the establishing of
thecompetition
rules necessary for the
functioning of the internal
market
monetary policy for the
Member States whose
currency is theeuro
the conservation of
marine biological
resources under
thecommon fisheries
policy
common commercial
policy
EU and the progress
reforms under
development in Albania
and Macedonia Republic

Shared competence:

"Member States cannot exercise
competence in areas where the
Union has done so."
"Union exercise of
competence shall not result
in Member States being
prevented from exercising
theirs in:"
research,
technological
development
and space
development
cooperation,
humanitarian aid
"The Union coordinates
Member States policies or
implements supplemental to
theirs common policies, not
covered elsewhere"
the internal market
social policy, for the
aspects defined in this
Treaty
economic, social and
territorial cohesion
agriculture and fisheri
es, excluding the
conservation of marine
biological resources
environment
consumer protection
transport
trans-European
networks
energy
the area of freedom,
security and justice
common safety
concerns in public health
matters, for the aspects
defined in this Treaty
coordination of
economic,
employment and
social policies
common foreign,
security anddefence p
olicies
progress under
strong points of
countries reforms
public goals
development of
border trade between
Albania and
Macedonia Republic.


254
Thats why is so important to be unified the entire continent in one. Albania is in a very good position for
having a constructive consortium with the European Union and the other European institutions. We belong to
Europe, therefore we all must to act together to protect the peace and to enlarge the human rights in the
whole continent.
The process of enlargement regarding Albania will bring several reforms on justice, on the social-
economic developments, as also will bring reformation and structural development towards to the assets
ownerships and investments in general. In all cases, EC policies will be invariably taken as the reference
against which the EC assistance objectives are defined, and achievements measured.
Although Albania will remain heavily dependent on external financing it is assumed that the level of
international assistance for Albania will diminish appreciably in the next years and this will affect growth rates.
There is a risk that even if certain key reforms are completed Albania will continue to have difficulty in
attracting foreign investment.
In the last meeting of the Stabilization and Association Council-(SAC) between Albania and the EU, as
regards the economic criteria, SAC noted that Albania has moved closer to a functioning market economy but
observes shortcomings on real estate registration and orderly market exit procedures. Economic growth,
stability and predictability have been maintained during 2009 despite the global crisis but macroeconomic
stability and fiscal discipline need to be ensured. The SAC noted progress made towards enabling the
Albanian economy to cope with competitive pressure within the EU by implementing its privatization agenda
and upgrading the transport and energy infrastructure in the country, while increasing competition in the
telecommunication sector. Albania has been able to make progress on key political reforms, on economic
development and on its preparations for European integration.

2.2. EU Policy and Internal Agreement

Treaty lays down new principles and responsibilities in the field of the common foreign and security policy,
with the emphasis on projecting the EU's values to the outside world, protecting its interests and reforming its
modes of action. The European Council will lay down common strategies, which will then be put into effect by
the Council acting by a qualified majority, subject to certain conditions. In other cases, some States may
choose to abstain "constructively", i.e. without actually preventing decisions being taken.
As for the institutions, there were two major reforms concerning the co-decision procedure (the legislative
procedure involving the European Parliament and the Council), affecting its scope - most legislation was
adopted by the co-decision procedure - and its detailed procedures, with Parliament playing a much stronger
role. These provisions make the Commission more politically accountable, particularly vis--vis the European
Parliament. Finally, the new Treaty opens the door, under very strict conditions, to closer cooperation
between States which so wish. Closer cooperation may be established, on a proposal from the Commission,
in cases where it is not possible to take joint action, provided that such steps do not undermine the
coherence of the EU or the rights and equality of its citizens.
5

2.3. EU Member States and the Perspective in SEE

Now, the EU, a community of values based on peace and freedom, democracy and the rule of law, as well as
tolerance and solidarity is the world's largest economic zone. The wider internal market and new economic
opportunities have increased Europeans' prosperity and competitiveness. The governments of the EU
Member States, coming together in the European Council, have agreed to extend the EU perspective to
countries in South East Europe - Croatia, the former Yugoslav Republic of Macedonia, Albania, Bosnia and
5
European Commission (2005-11-10). "1972". History of the European Union. Retrieved , 2006-01-18.

255
Herzegovina, Montenegro, Serbia, Kosovo under UN Security Council Resolution 1244 and Turkey.
Membership will only happen when the necessary requirements are met. A gradual and carefully managed
enlargement process creates a win-win situation for all countries concerned.
6

At present, there are three candidate countries, Croatia, Turkey and the Former Yugoslav Republic
7
of
Macedonia. Accession negotiations with the first two started on 3 October 2005. The Former Yugoslav
Republic of Macedonia became a candidate country in December 2005, on 2007 they have signed the
Association Agreement and on January 2010 they took the status as European member but not with full
access. The other countries of the WBs - Albania, Bosnia and Herzegovina, Montenegro, Serbia and Kosovo
under UNSC Resolution 1244/99
8
- have all been promised the prospect of EU membership as and when
they are ready. They are known as potential candidates.

Table 2. Contractual Partnership between EU membership.

0
1
2
3
4
5
6
Macedoni a Bi H Croti a Al bani a
Indi cators
Devel opment
ProjectProgress

With all the countries of the WBs the EU has established a process known as the Stabilization and
Association Process (SAP),
9
which aims to bring them progressively closer to the EU. Thanks to this process,
these countries already enjoy free access to that of the EU single market for practically all their exports, as
well as EU financial support for their reform efforts. The centerpiece of the process is a SAA, which
represents a contractual relationship between the EU and each WBs countries, entailing mutual rights and
obligations. The SAA focus on respect for key democratic principles and the core elements which are at the
heart of the EU single market. The SAAs are also the tools which provide, much as the Europe Agreements
did for the candidate countries in Central Europe, the formal mechanisms and agreed benchmarks which
allow the EU to work with each country to bring them closer to the standards which apply in the EU. Through
a free trade area with the EU and the associated disciplines (competition and state aid rules, intellectual
property etc) and benefits (e.g. rights of establishment), and through reforms designed to achieve the
adoption of EU standards, this process will allow the economies of the region to begin to integrate with that of

7
Former Yugoslav Republic
7
of Macedonia. 3 October 2005
8
Kosovo under UNSC Resolution 1244/99
9
Stabilization and Association Process (SAP) January 2010

256
the EU. The process helps the countries concerned build their capacity to adopt and implement EU law, as
well as European and international standards. It is based on an ever-closer partnership, with the EU offering
a mixture of:
- trade concessions (autonomous trade measures);
- economic and financial assistance;
- assistance for reconstruction, development and stabilization (CARDS);
- SAA far-reaching contractual relationship with the EU, entailing mutual rights and obligations.
The EUs political strategy towards the WBs relies on a realistic expectation that the contract it enters into
with individual countries will be fulfilled satisfactorily. EU assistance to the WBs is adapted as needs and
political situation evolve. Initially, the focus was on humanitarian and emergency assistance. Later on, it
concentrated on rebuilding infrastructure, and fostering reconciliation and the return of refugees. As each
country moves deeper into the SAP, so the assistance focus increasingly on support for developing
government institutions and legislation, and approximation with European norms and eventually
harmonization with EU acquis (EU law).

2.4 The Process of EU Cooperation and Albania

Candidate countries have to demonstrate that they will be able to play their part fully as members -
something which requires wide support among their citizens, as well as political, legal and technical
compliance with the EU's demanding standards and norms.
Countries wishing to join the EU can proceed from one stage of the process to the next, but only once
all the conditions at each stage have been met. In this way, the prospect of accession acts as a powerful
incentive to reform. The EU policy on enlargement ensures that the process is meticulously managed, so that
accession brings benefits simultaneously to the EU and to the countries that join it.
- The mandate and the framework;
- Screening and monitoring;
- Closure of negotiations and Accession Treaty.
As the last of the Eastern European states to overthrow communism and with a legacy of international
political isolation, Albanias experience of interaction with the EU is relatively short. In 1992 it entered into a
Trade Agreement with the EU and in the intervening years has worked, with varying degrees of success, to
implement domestic reforms in a bid to move towards EU standards. Albania is a potential candidate country
for EU accession following the Thessaloniki European Council of June 2003. On 18 February 2008 the
Council adopted a new European partnership with Albania. The SAA with the country was signed on 12 June
2006, after three years of negotiations. The SAA must be ratified by each EU Member State before coming
into force, a process which could take some years, and it entered into force on 1 April 2009. In the meantime,
an interim bilateral EU-Albania free trade agreement, which has been in operation since February 2003, will
continue to function.
The EU-Albania visa facilitation agreement entered into force in January 2008 while the readmission
agreement entered into force in 2006. Albania submitted its application for EU membership on 28 April 2009.
Albania has profited from the EU autonomous trade measures since 2000. Albania's trade with the EU
expanded with the additional preferences granted following the entry into force of the Interim Agreement in
December 2006.
On 14 October 2009 the EC adopted its annual strategy document explaining its policy on EU
enlargement. The document includes also a summary of the progress made over the last twelve months by
each candidate and potential candidate: Croatia, the Former Yugoslav Republic of Macedonia, Turkey, as
well as Albania, Bosnia and Herzegovina, Montenegro, Serbia and Kosovo. Furthermore, the 2009 progress
reports were published on the same date, where the EC services monitor and assess the achievements of
each of the candidate and potential candidates over the last year. That "enlargement package" of information

257
contains also a multi-annual financial framework setting out the financial assistance available to support the
reform efforts of the candidate and potential candidates over the next years.

Table 3. Competitive pressure within the EU implementing

The period covered by the Albanian progress report is early October 2008 to mid September 2009. Progress
is measured on the basis of decisions taken, legislation adopted and measures implemented. A joint
committee met in December 2008 to oversee the proper functioning of the Interim Agreement. A Consultative
Task Force (CTF) meeting took place in December 2008, focusing on political accession criteria and rule of
law issues. Working party/subcommittee meetings focused on economic, internal market and policies. As a
potential candidate for EU membership, Albania aligned itself with 116 CFSP declarations from a total of 128
relevant declarations adopted by the EU during the reporting period.
10

As regards Community programmes, Albania is participating in the 7
th
Research Framework programme
under a memorandum of understanding signed in December 2007. The country is also participating in the
Entrepreneurship and Innovation Framework Programme and in the Europe for Citizens programme, under
memorandum of understanding signed respectively in June 2008 and February 2009.
The visa facilitation and readmission agreements between Albania and the European Community
continued to be implemented. In the framework of the visa liberalization dialogue, Albania has made good
progress in the areas of justice, liberty and security, but has not yet met all the benchmarks set in the
roadmap. Further efforts are required particularly in the area of personalization and distribution of biometric
passports, border and migration management and the institutional framework to fight organized crime and
corruption.
Priority areas where regional CARDS assistance is focused for 200510, are listed below:
Institution building: this priority focuses primarily on strengthening the administrative capacity of the
countries, and support to public administration reform, through instruments implemented regionally;
Justice and home affairs: actions in this field have a special focus on the fight against organized crime
and corruption, and include enhanced police regional cooperation and judicial regional cooperation;
10
Entrepreneurship and Innovation Framework Program, December 2007

258
Cross-border cooperation: by promoting economic and social cooperation of border regions, including
support to networking activities and the involvement of civil society. The EU supports the development
of cross-border cooperation between the WBs countries, as well as between these countries and EU
members, acceding and candidate countries;
Private-sector development, by facilitating foreign direct investments in the region;
Infrastructure development, through initiatives in the sectors of transport, energy, environment and
information society.

3. Conclusions and Definitions

1. Macedonia,
[11]
Montenegro and Turkey are all official candidates states while Albania and Serbia have
applied for membership. Bosnia and Herzegovina has concluded an association agreement and is preparing
an application while Kosovo is beginning negotiations for an agreement. The Western Balkans have been
priority for membership since emerging from war during the breakup of Yugoslavia; Turkey has been seeking
membership since the 1980s and Iceland has lodged its application since suffering economic collapse in
2008.
2. Regional cooperation is a principle of the highest importance for the political stability, the security and
economic development of the WBs countries: Albania, Bosnia and Herzegovina, Croatia, the Former
Yugoslav Republic of Macedonia.. Many of the challenges facing the WBs countries are not only common to
them but also have a cross-border dimension, which involves their regional neighbors. The political
dimension of regional cooperation and Regional cooperation in the WBs is: needed as a crucial ingredient of
stability;
- about helping overcome nationalism and intolerance and promoting mutual understanding and
political dialogue in the region.
3. The centrepiece of the SAP is the conclusion of SAA, which represents a contractual relationship between
the EU and each WBs country, entailing mutual rights and obligations. Regional cooperation is a specific
requirement under the SAAs. Rapprochement with the EU will go hand in hand with the development of
regional cooperation in the WBs.
4. Infrastructure development is of vital importance for developing the economies of the WBs; it is an initial
and indispensable requirement for an increase in economic growth. However, infrastructures without the
reforms necessary to strengthen institutions that will promote sound development policies cannot promote
economic growth and social cohesion nor achieve much by way of regional and cross- border integration.
Regional trade across South-Eastern Europe is fully in keeping with the EU perspectives of the different
countries in the region, independently of where they stand on their way to membership. Trade liberalization
and facilitation is one of the pillars of the SAP: a main instrument of the SAP is the autonomous trade
measures that the WBs countries enjoy free access, without quantitative limit, to the EU market for
practically all products.
- A potential candidate country, which is monitored continually for the fulfillment of the engagement
criteria taken in the framework of the SAA;
- Centralized coordination system (inter institutional coordination through the Ministry of European
Integration and EI Unit). The Government has the main responsibility. The PM has full decision
making competences and guides the work of the government;
- The current mechanisms do not provide any clear guidance and involvement of independent
institution, due to the separation of power doctrine; yet, it does not prevent them from playing an
active role in the process;
- A Parliamentary Commission for EI has been established within the Albanian Assembly and Local
governments are not involved in the EI process and do not keep direct contacts with Brussels, but
they operate independently in accord with the governance practices of similar countries in EU;

259
- Short of public administration staff, which is not adequately trained in issues of European
integration; National Strategy in place; Departments are not autonomous and easy to coordinate;
- Low policy making structures and lack of EU policy making; Strategic planning and coordination is
in place; Low level of involvement and information.

References

Analytical Report accompanying the Communication from the Commission to the European Parliament and the Council, Brussels, 09
November 2010.
Second Meeting of the Stabilization Association Council between Albania and the EU, Brussels, 11 May 2010.
Albanian Progress Report 2009.
National Official webpage of the Ministry of European Integration.
European Commission. "A Single Market for goods". Europa web portal. Retrieved 27 June 2007.
European Commission. "A Single Market for Capital". Europa web portal. Retrieved 12.10.2000
European Data collected. www.balcan web.al
European Commission. "A Single Market for Services".Europa. Retrieved 27 June 2007.
European Commission. "Competition: making markets work better". Europa web portal. Retrieved 12 November 2007.
Lungescu, Oana (23 July 2004). "Examining the EU executive". BBC News. Retrieved 18 September 2007.
"The Commission prohibits GE's acquisition of Honeywell". Europa web portal. 3 July 2001. Retrieved 12 November 2007.
Gow, David (22 October 2007). "Microsoft caves in to European Commission". Guardian (London). Retrieved 12 November 2011-08-
23T10:26:48Z Heb 680x520 (604212 Bytes) Added [[:en:Bornholm]] (taken from [[:File:Denmark blank map.svg]])
2011-04-12 Upgraded Sicily based on "File:Freeworldmaps-sicily.jpg". Upgraded Malta based on "File:Map of Malta 2.png". Simplified
Croatian borders.
2011-04-10 Upgraded Croatia, Bosnia & Herzegovina, Slovenia and surrounding countries based on data from "File:Kroatien - Politische
Gliederung (Karte).png"
2011-04-10 Improved Serbia, Montenegro and surrounding countries using data from "File:Serbia Map.png". Fixed Serbia-Montenegro
border. Added Kosovo.


261

Strategic Management of Human Resources in the Health Care System


Academy of Economic Studies, Bucharest, Romania
E-mail: kanellopoulos_dimitrios@yahoo.com

Doi: 10.5901/mjss.2012.03.01.261

Abstract Development of the strategy in the health care system cannot be done without granting special attention over human
resources. These are an important component in any system and influences the evolution and actual situations by their
subjective dimensioning. HR management should actively participate in drafting the strategy, having in consideration the
relatively long time stamp of the strategy. This participation is determined by the time needed to ensure appropriate and
adjustable human resources to the strategy considered. The activities specific to the planning, organization, coordination,
training and evaluating human resources are expensive activities which impose a special attention, particularly because it affects
directly the achievement of the proposed objectives.

Keywords: strategic management; management of the medical system; management of human resources; strategy in the
medical system; economic constraints for human resources.

1. Introduction

In order to built a durable development strategy in the health care system, the assembly of measures to
preserve, grow and value all the resources available for the medical system in a given moment has to be
identified, and between them, the human resources are becoming primary due to the fact that the
development of a social system is achieved in the first place by people and especially for people.
Human resources raise special problems in quantitative and qualitative terms. Their quality represented
a preoccupation, especially in the last decades, and one of the main themes of the public policies in many
countries. The quantitative and qualitative analysis of human resources from the health care system assumes
the evaluation of the educational level and professional level, level which forms the human capital.
Most of the knowledge, skills, and qualifications are acquired in school, through the educational
process, and therefore, education and professional training of human resources within the health system
have the decisive role in the acquisition and development of human capital and, accordingly, development of
the system they belong. For the effects generated by the quality of human resources over the health system
and implicitly over its social and economic side to be maximum, it has to comply with certain conditions
becoming more and more significant and which impose a strategic approach. In figure no. 1 it is observed the
importance of human resources within the strategy.
As regard to the human resources within the medical system, the strategy delivers the necessary frame
for annual planning, annual budget and evaluation cycle within the system. (Lefter 2008)
The process is rational and includes the entire system, but is admitted that this rational approach
presents an external dimension, since the plans are made and executed according to the external
environment.
The strategy in the field of human resources includes a large vision which deals with data and aggregated
tendencies and not with disaggregated details. On the other hand, the strategy in the health system operates
with long-term perspectives more than with short-term perspectives. Moreover, it is important to consider
strategy as a perspective and to focus on strategic thinking. Human resources from within the health system
do not need only agenda of improvement on short term but also strategic approaches of support on long
term.

262
Figure 1. Importance of human resources within the strategy in the medical system

Development of
the mission and
purpose of an
organization
Establishing
long-term
objectives
Generating and
selecting the
optimum strategy
Implementation of the strategy (preparation of human resources in order to tailor
to the new ways of action, training these resources in order to achieve the new
objectives, motivating human resources in agreement with the new objectives but
also with the social standards of these resources)
Coordinating the ctivity in order to
succesfully complete the strategy
(managerial, financial, economic,
etc.)
Periodical evaluation of the way the
strategy is implemented (managerial,
financial, economic, etc.)

A model for understanding the strategy which has a considerable applicability for management of human
resources from the medical system has mainly a structure with two main directions. Firstly, it sorts the
change which, in its dynamical form, it considers as better described as turbulence, covering a low to high
turbulence range. Secondly, it sorts the levels of understanding the nature and sizes of that change and an
ability of the system to respond to the change. Within this strategic approach, are considered four strategic
fields: strategic planning, emergent strategy, entrepreneurship and strategic intention.

2. Evolution

Strategic planning is based on the premise that in large terms (dealing with aggregate data) is possible
medium-term planning, e.g. five-year planning, because the environment is predictable. Strategic planning
operated with an environment where there is a moderate or low level of turbulence - fundamental nature of
the health system was not caused, and there is a high level of understanding regarding the level of
turbulence and how it can be understood, and its impact, On short, strategic planning takes place in stable
and predictable parts of the system environment which deals with aggregate data in a certain time interval.
The emergent strategy can be better understood if it is considered to be learning from practice. This
appears when human resources from within the health system registers a change which, although on
background is not significant, is not fundamental for the existence of humans, and the leaders have a limited
understanding over the nature of the change or how to better implement the necessary change. (Cassels
1995)

263
In such circumstances, it can be used a process of continuous perfecting of human resources by what
is done, by trial or error. Therefore, unlike strategic planning, this change involves a reactive process to the
level of the entire system. This approach which is often used by human resource managers when they have
to face many initiatives coming from the government, when the health care facilities have little time or too little
choice for the task of implementing the change or how to implement the change, but it builds experience,
which advance planning cannot do. (Lefter 2008)
The term of entrepreneur describes a creative and dynamic individual who develops products and sells
them on the market. The term of intrepreneur describes the same type of individual, dynamic and creative,
but who operates with a larger organization. This form of strategy involves a very limited number of
requirements from the center and allows the subunit to have a considerable freedom on the operating
manner and the manner to accomplish those central requirements.
Intrepreneurship is associated with the management based on location or delegated management. It
can be involved also within the health system or at the regional or central governmental level, even at the
level of hospitals and clinics. The government could constitute a number of reforms or initiatives. Then it can
implement a series of schemes which distribute the management on level of the medical units, therefore, at
least in theory, leading to the increase of the abilities of these units to implement reforms. Then, the
administrative units of the medical system would be considered liable by a limited number of central
measures of liability. At the level of the administration unit from the health care system, it is not
recommended that any individual leader to try to understand every detail or aspect of the major reform by
which human resources will have to pass. In practice, they would delegate the responsibility to every
individual subject leader and would consider it liable against a global requirement of the system.
So, in conclusion, intrepreneurship is a strategy by which the central unit develops and fights with the
complexity making the subunit liable for the limited central targets within a large frame of decentralization and
management based on location. The strategic intention of an organization allows planning in a turbulent
environment with a larger understanding, without being necessary to employ in obsessive details in the
planning process. Strategic intention involves management of the organization which has to be capable to
articulate a limited number of strategic intentions - even only five, in order to prevent the loss of
concentration. These intentions involve significantly ease of the organization performance in critical fields.
Therefore, strategic intention imposes a process to build the capacity and capability. (Luchian 2005)
When the concept of strategic intention is used, the medical system would establish a limited number of
intentions, and these would be expressed in clear terms, because they do not represent only vague visions,
but also specific fields of activity. They can be considered as means to translate vision in action. The
manager of an organization from the medical field would know the fields on the fundamental change and
improvement and would know that to obtain, but for the moment would not know how to improve.
A good example would be the development of a successful culture and of high achievement by the entire
human resource from within the public health system. The challenge would consist in living with the ambiguity
while the organizational capacity is developed firstly to understand the nature and sizes of the field to be
developed and then are built solutions. In figure no. 2 is evidenced the strategy in the health system from
perspectives of human resources.


264
Figure 2. Strategy of the health system in approaching human resources

Formulating a new strategy of the health system in
accordance with the strategy of National and
European development
Appearance of new
challenges on the
human resources
management in the
context of applying
the strategy
Temporary reduction of the
human resource
performances as a result of
implementing the changes
Tailoring some measures for permanent increase of
the human resource performances in order to
maximize efficiency and effectiveness
Establishing a new
organizational
structure tailored to
the strategy but also
to the availability of
human resources
from the system

Strategic intention is connected to taking over the cultural change and fundamental re-thinking by building
capabilities and organizational competences, and not by assuming that the medical system has a set of linear
simple plans to put in force.
With an approach of strategic planning is possible to go directly to the implementation of the plan, but the
process for building capacity required in establishing a set of usual strategic intentions involves work in all the
four stages. The human resources managers understand, at least in theory, very well the strategy, but often
see it as a simple addition of another year to a short-term planning frame. Of course, the control systems
from the central level of the system often require planning frames with results which can be defined and
measured. This precision can be very good for certain activities, but when we have activities connected with
qualitative indicators, complex, which are connected with social and emotional understanding, such
specification is not possible. (Flett 2008)
When such challenges appear, connected with the change in organizational culture, with establishing
intentions while the organization builds an understanding over the nature of the change and the capacity to
take it over, this is the only way to obtain a sustained transformation. We can say that the change strategy
and improvement vision are easier than to move the culture.
There is a key factor to highlight here: no strategic approach is superior to other, necessarily. All can be
developed in different circumstances and, indeed, the medical system can use more of them competitively.
The particularly significant field of building strategic intention allows the HR manager from within the health
system to undertake the fundamental re-enlightenment of human resources and the organizational practice
which means both creativity and development and the more specific planning of human resources from within

265
the health system. If HR management develops the idea that the rational, linear and predictable strategic
planning is not necessarily feasible, it is more probable that the emergent strategy, entrepreneurship and
strategic intention to have a considerable contribution in the medical field.
We can say that it is an error to believe that the long-term results are controllable and predictable.
Therefore, analytical thinking which has a cause and effect relationship should be replaced with analogue
thinking. We can consider that focusing on the perfecting process and mental patterns which govern the
process, rather than on results, can constitute a more beneficial approach. Therefore, it is considered that
instead of vision and plans, efficient managers will focus on the changing agenda of strategic problems,
challenges and aspirations.
The key message of the model of dynamic systems represents a concern as regard to the order,
stability and consistency of the perpetual frames which prejudice managerial creativity and ability to deal with
the unknown. When the future is not stable, the managers cannot install techniques, procedures, structures
and ideologies in order to control results on long term. (Cassels 1995)
Although, they can handle with limitative conditions in a way that pushes the system in an area far from
balance where can appear spontaneous self-organization and where can converge new strategic directions.
Then, the managers will have to deal with key questions which are not connected with maintaining the stable
balance, but with the manner in which can be established a constraining instability sufficient to cause the
complex development of humans.
From the above mentioned, we can deduce that, in fact, the conceptual frame of planning has to be
developed on order to lead to the idea that the strategy can be developed in a non-linear or emergent
manner. This perspective can help managers to deal with the unknown challenges and can help us to
understand that the simplistic models of the predictive safety are no longer appropriate to the actual complex
systems. Probable, by creating a number of strategic capacities or competencies in a core and relating them
with the strategic intentions, we can find a way to build the capacity to develop strategies as the events
appear. This manner of building would involve organizational learning as proactive strategy which could be a
better solution against the one to be based on reactive answers later. This aspect imposes the involvement
on participative level of all human resources from within the system. (Luchian 2005)
If the strategy develops deliberately by approaching rational planning or by processes of building
emergent intentions, the managers will need to translate that strategy in action. This change is fulfilled by
employment in the strategic process. In order to define this strategic process, five perspectives are required:
- penetration: the ability to find a meaning to the environment and its impact over the organization, and the
ability to prefigure a viable future;
- concentration: as the estimation of feasible and desirable actions, the ability to choose the right ones at the
right time and concentration to see their implementation;
- alignment: key task to align the individual and the organization to the strategic direction of the program;
- execution: the ability to efficiently implement the strategy;
- renewal: the ability of the organization to learn from the strategic process and to renew its purpose.
When elements of the successful translation of the strategy in action are identified, the central factor is
the capacity of strategic management of the manager and of the administrative team of the unit. Therefore, is
appropriate to consider firstly the management and then the strategic management. (Flett 2008)
As regard to the strategic management at the level of the health system (especially as regard to the
human resource as strategic resource), but not only, it is clearly that we must observe that the strategic
process aims in positioning medical unit in its relation with the competitors from the external environment. As
a result, in the large part of the cases, on international level, efforts have been made in order to employ
external experts or advisors, trained in the process of strategic planning. The medical units used the
connections of their personnel with communities, thirds or businesses in order to identify aspects of external
environment and to establish new opportunities.

266
Although, practice or approaching demonstrated rather a constrained strategic vision, especially as
regard to the external environment, even situations where the perspective over the entire system was absent.
There were situations where the leaders from the level of educational unit did not consider the competition as
being significant. (Cassels 1995)
The reasons on this dispersion can be more complex, but the ones managing the medical units rather
have an internal operational orientation, somewhat far from the external environment. The managers of
medical units, who saw the competition as being significant, were the ones who had responsibilities also
outside the unit where they worked.
Also there were micro-political factors which made to disappear any rational perspective of the external
environment. Although, probably the most fundamental inhibitor vis-a-vis a rational perspective of planning
was dissociation of the strategic planning and obtaining funds.

3. Concluding Remarks

The medical units are, mainly, supported with public fund and, therefore, the study of strategy and politics
finds its place within the debates of public management. On European plan, all the issues on the delivery of
public service have been altered by managerial reforms of the 80s and 90s, even of the reforms besides
these periods, which led to a re-defining of the relations between the center and the institutions which deliver
services. While there are different emphasis over the ideological perspective or other motivators of these
reforms, there is although a consensus in the literature on the reduction of the role for delivery of service, the
state having less responsibility connected with the delivery of services, this leading inherently to the
proliferation of agents, non-department public bodies and especially in partnerships, all these being
connected by contractual relations, surveillance and regulating regimes. This direction became international,
although there is an active debate over the extent in which this convergence goes beyond discourse and
decision to reach the results.

References

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267

Assessment of E-Banking Services and Legal Framework in Albania

Ersida Teliti

Faculty of Law, University of Tirana
Address: Rr Dora DIstria, Tirane, Albania
Phone: 00355 67 200 31 09 Email: ersidateliti@yahoo.com

Rezarta Mersini

Aleksandr Moisiu University
Address: Lagjia 1, Rr Currilave, Durrs, Albania
Phone: +355 66 40 45 909 Email: rmersini@hotmail.com

Doi: 10.5901/mjss.2012.03.01.267

Abstract Continuous advancements in information technology have led to a broad range of banking products and services.
Among all types of e-banking, internet banking provides faster, cheaper and timeless services via internet. Financial institutions
in developing countries should be aware of the advantages of online banking in terms of convenience, flexibility, competitive
advantage and lower costs. This paper reveals the current expansion of e-banking in Albania by reviewing existing transactional
sites and latest financial reports. Furthermore, e-banking legal framework in Albania has been analyzed with conclusions being
reached. The study suggests that the actual legal framework needs further improvement and should be compliant to the EU legal
framework, and that a public informing campaign should be raised with regards to electronic payment instruments. A recent
survey has been carried out to collect data from the Albanian banks offering e-banking services. The survey identifies the
important role of e-banking in gaining competitive advantage with lower costs. It implies that financial institutions in Albania have
to make strategic plans in order to improve e-banking services and online marketing.

Keywords: E-Banking, Internet Banking, Competitive Advantage, Legal Framework, Albania

1. Introduction

All over the world, electronic banking services of all forms have spread. E-banking, namely Electronic
Banking implies provision of banking products and services through electronic delivery channels in three
forms: ATM, phone banking and internet banking (Mashhadi et al. 2007). Moreover, according to Mishra and
Kiranmai (2009) e-banking services fall into these types: ATMs (Automated Teller Machines); E-Payments
through Credit Cards, Debit Cards, Smart Cards, etc and EFT (Electronic Fund Transfer); Phone Banking;
Mobile Banking; Internet Banking. Turner (2001) discusses that progress in information technology has
reduced the costs of processing information, and the internet has facilitated communication, thus every
aspect of the banking services has technologically advanced. Kohli (2003) states that there has been a
strong realisation that technology is not just a facilitator but rather a driver of business. Technology will allow
banks to get closer to their customers, to deliver a wider range of services at lower costs, offer 24-hour on
line banking support to customers and improve internal systems (Gates, 1997). The impact of e-banking is
not limited to industrially powerful and developed economies. Transition economies in developing countries
prone to underdeveloped banking systems have been witnesses to the advantages of e-banking. As a result
many new business opportunities have been offered (Turner, 2001). As suggested by Claessens, Glaessner
and Klingebiel (2001), developing countries have an advantage because they can learn from the advanced
economies in terms of implementing internet technologies in banking services. Claessens et al. (2001)
argues that e-finance can be introduced quickly in developing countries even where the basic financial
infrastructure is weak. Gurau (2003) and Khalfan & Alshawaf (2004) support this idea in their internet banking

268
studies performed in developing countries. Customers in developing countries seem to lack internet literacy
and usage due to low incomes. Also, empirical evidence shows that richer countries possess higher
concentrations of internet users in comparison with poorer countries (Hawkins, 2002). As regarding financing,
some private banks in developing countries such as India are aggressively implementing customer driven
internet-based relationship for banking models (Sushant Kumar, 2001). An internet banking application as
one form of e-banking, is considered as one of the most successful Internet applications ever. The real role of
internet banking is to provide electronic services, at a low cost and in an information rich environment (Gates,
1997). This field is an important one given that a great number of Internet users can accomplish their banking
affairs online in reduced time and costs, and as banks are willing to expand this channel in the future
especially to facilitate their relationship to customers and to gain competitive advantage (Pikkarainen et al.,
2004). Bank managers should remember that IT investment could be essential to the survival of the banking
organisation (Bhatanagar, 1997).

2. The Albanian Banking System and History of E-Banking in Albania

After the collapse of Albania's communist economic system in the early 1990s free-market initiatives were
introduced in the country. This economic change initiated the establishment of the new banking system. The
democratic Albanian government began to attract foreign investors to set up private banks in Albania. From
1993, foreign investors started to open their own banks in Albania. Unfortunately, the successful progression
of the Albanian banking system was set back by so-called pyramidal institutions collapse in 1997. Bank
stability was re-established and from that point on, the number of private banks has increased. The central
bank has been reorganized in order to meet the international standards and especially EU requirements in
terms of banking services and legal framework. Bushati (2008) states that the Albanian banking system is
regulated according to the international accounting standards. Bank supervision was strengthened when a
new law on the banking sector came into force in June 2007, bringing the countrys legislation closer to EU
standards (EBRD Albania Report 2009). Nowadays, the financial sector in Albania is dominated by privately-
owned commercial banks. After the privatization of the National Commercial Bank, completed in June 2000,
the Savings Bank of Albania was the only one state-owned bank in Albania. However, in order to boost
banking competition, the government sold its 100% stake in the Savings Bank to Austrias Raiffeisen
Zentralbank (RZB) in December 2003. The Savings Bank changed its name to Raiffeisen Bank in October
2004. Credins Bank, the first Albanian fully-owned bank was established in 2003 marking an important event
in the Albanian banking sector. During 2008, EBRD acquired 12.5% of the shares of Union Bank while
Veneto Banca Holding gained the ownership of the former Italian Development Bank by acquiring 76.83% of
the total shares. During the same period, the Bank of Albania named the previously merged American Bank
of Albania as Intesa SanPaolo Bank Albania. Currently, there are 16 banks operating in the country. The
number of foreign-owned banks is 14 with an asset share of 93.6% (EBRD Transition Report 2009). In the
last decade, market competition has greatly strengthened. The quality of banking services provided to the
public has significantly improved especially during the last 5 years (Bank of Albania Annual Report 2008). To
summarize, year 2008 lists important events concerning the Albanian banking sector. Most significant
changes that took effect comprise: changes in banks capital owner and structure, expansion of the bank
activities, ebanking products and bank networks within Albania. (Bank of Albania Supervision Annual Report
2008).
Commercial banks in Albania today offer most of the standard banking services such as deposit
accounts, foreign transfers, trade finance and mortgages, with some of them also offering lending activities.
The transition countries experienced strong economic growth in 2007, but this has slowed down in 2008 and
the region is increasingly feeling the effects of the global financial crisis. However, as shown in Figure 1 and
Figure 2, market-oriented reforms have continued to advance in most countries including Albania (EBRD
Transition Report 2009).

269
Figure 1. Significant Progress in Transition Countries (EBRD Transition Report 2009)

EBRD Transition Report (2009) also shows the transition indicator scores ranging from 1 to 4+. 1 indicates
little or no change with reference to a centralized economy, whereas 4+ indicates industrialized economy
level. Albanian banking sector reforms score is 3, closer to the highest level indicator score 4+ as shown in
Figure 2.

Figure 2. Transition Indicator Scores (EBRD Transition Report 2009)


270
The Albanian banking sector has experienced a slow-down during the world economic recession. However it
is insignificant compared to other countries more severely affected. (EBRD Albania Factsheet 2010). In this
regard, deposit insurance and additional liquidity are anti-crisis measures undertaken by the Albanian
financial sector. (EBRD Transition Report 2009). Albanian banks have tried to maintain their competitive
status via aggressive promotion and extensive branch networks. However, in the last decade some of them
became aware of the importance of e-banking and started to provide it to the customers partially. The
provision of e-banking services appeared in Albania after 2000. American Bank of Albania (ABA) was the first
bank who provided a full package of Internet banking services in 2002. In 2006, the number of on-line
banking subscribers at the American Bank of Albania grew from 720 to 1,340 - equal to 86% - making it one
of the fastest-growing distribution channels for the Bank (ABA Annual Report 2006). By the end of 2007,
some other banks offered several services mainly for their corporate clients. Use of electronic money in
Albania began in 2003. At first, banks started implemented ATMs. In 2007, the number of electronic money
users has increased from 34,090 to 295,250. That increase was due to the fact that all the budgetary salaries
have been started to be paid through banks. The increase of the electronic money usage has gone parallel
with the increase in bank transactions. The number of credit cards increased from 806 (in 2004) to 4,245 (in
2007). The debit cards and cash have increased respectively from 6,552 to 70,176 and from 26,736 to
220,657 in the corresponding years (Central Bank of Albania Annual Report 2007). While, year 2008
indicates an increase in provision and use of electronic access products by bank customers in Albania.
Popular electronic media include: personal computers and telephones. The number of ATMs has also
increased because of the increased use of cards. Internet access facilities have been offered to carry out
transactions. Most importantly, banks awareness and focus towards providing security and protection has
also risen. Use of chips in debit and credit cards and strong authenticaton/authorization scheme
implementations in internet banking transactions mark important progress. During 2008, 8 new e-banking
product implementations and ATMs electronic cards were approved. The number of banks using electronic
products reached 12 (Central Bank of Albania Supervision Report 2008). Table 1 summarizes e-banking
services offered by Albanian commercial banks in 2008.

Table 1. E-Banking services in Albania (Bank of Albania Supervision Report 2008)

Banks ATM POS Internet Banking Electronic Cards
Raiffeisen Bank X X X X
National Commercial Bank (BKT) X X
Tirana Bank (Piraeus Bank) X X X
National Bank of Greece (NBG) X X
Alpha Bank Albania X X X X
Procredit Bank X X X X
First Investment Bank (FIBank) X X
Credins Bank X X X X
Union Bank X X X
Banka Popullore
(Societe Generale)
X X X
Intesa Sanpaolo Bank, Albania X X X X
Italian Bank of Development
(Veneto Banca)
X X

3. Internet Penetration Statistics and E-Banking Products in Albania

Internet was first introduced to Albania in 1991 by Soros Foundation for communicating with other branches
and headquartes across East Europe and USA but an immense increase in number of internet users was just

271
introduced after the crisis of year 1997. In the early years of the Internet in Albania, people faced many
difficulties like poor connection speed, frequent interruptions, high costs, low purchasing power, power cuts,
etc. For example, the monthly tariff varied from $16-35 or 15-40% of the average incomes in Albania.
According to Nune (2003), very few private companies could use the Internet as an opportunity for
economic growth. According to Internet Service Providers in Albania, private companies, banks, government
institutions, public and private schools and universities, nongovernment organizations are important
subscribers. 1.5% of families in Albania are Internet subscribers. In urban areas, 33.7% of the fixed-line
telephone family subscribers are Internet subscibers as well (INSTAT 2009)
1
.
4. Internet Connections
ADSL is still the most popular broadband infrastructure. Broadband connections have reached the quota of
64,000 as measured in December 2009 (ITU Report 2010)
2
. Considering Albanias low Internet penetration
rates and small number of fixed-line subscribers it is logical to think that broadband might compete as a good
choice to first time subscribers.

Table 2. Albanian Telecom Parameters 2008, 2009

Sector 2008 2009
Fixed broadband subscribers (thousand) 36 75
Fixed broadband penetration rate 1% 2.3%
Fixed-line telephone subscribers (thousand) 295 300
Mobile phone subscribers (thousand) 2,780 3,200

Source: BuddeComm Report 2010
3

Owing to those difficulties, internet penetration rates have remained too low for a long time. However, it
amazingly increased in 2009. According to the market research (Internet World Stats 2009), the Internet
penetration is at a rate of 20.6%. User growth has experienced an increase of 29.9% from 2000 to 2009.
Internet users in Albania constitute 0.2% of the total Europian Internet users.

Table 3. Internet Usage and Population Statistics

Year Users Population % Population
2000 2,500 3,083,300 0.1 %
2002 30,000 3,084,586 1.0 %
2006 75,000 3,087,159 2.4 %
2007 471,200 3,087,159 15.3 %
2008 580,000 3,619,778 16.0 %
2009 750,000 3,639,453 20.6 %

Source: Internet World Stats 2009
4

1
http://www.instat.gov.al
2
International Telecommunication Union Statistics
3
http://www.budde.com.au/Research/
4
http://www.internetworldstats.com/euro/al.htm

272
5. Albanian Internet Service Providers

The Albanian Electronic and Postal Communication Authority (AKEP)
5
counts 25 registered Internet Service
Providers in Albania comprised by National ISPs (40%), Regional ISPs (28%), Local ISPs (24%) and PoP
ISPs (8%) (AKEP Internet Service Providers in Albania 2009). Progress has been made to reduce low speed
internet connections and to increase ICT development index. An increase of 0.38 of Albanias ICT
Development Index (IDI) in 2008 compared to 2007 is observed (ITU Report 2009)
6
. Although, compared to
other Europian countries, Albanian IDI is the lowest, there is substantial growth from 2002 to 2008 as
indicated by ITU research in 2010.

Figure 3. IDI 2008, 2007, 2002 (ITU Report 2010)

As for the e-banking products usage in Albania until recently, we give detailed figures according to the
Annual Reports by the Bank of Albania. Number of installed ATM and POS has respectively increased by
15% and 48% in 2009 compared to 2008 as indicated in Table 4.

Table 4. Number of ATM and POS in Albania

ATM & POS 31 December 2008 31 December 2009
ATM (Automated Teller Machines) 642 741
POS (Point of Sale ) 2,953 4,370

Source: Central Bank of Albania Annual Report 2009

5
http://www.akep.al/
6
International Telecommunication Union Statistics

273
Number of cards in 2009 is 566,985 - compared to 512,232 in 2008. Furthermore, Table 5 shows an increase
in number of issued debit and credit cards by the end of 2009. A significant rise of about 50% is measured for
the number of credit cards. Transaction number and values in ATM and POS are also shown in Table 6.

Table 5. Number of Debit and Credit Cards in Albania

Card Type 31 December 2008 31 December 2009
Debit Cards 482,072 543,141
Credit Cards 15,931 23,844
Total Number of Debit/Credit Cards 498,003 566,985


Table 6. Total Transaction number and value in Albania

Number of Transactions Value of Transactions (Million Lek)
Transaction Type
2008 2009 2008 2009
ATM 7,911,013 8,718,439 89,078.90 96,130.26
POS 294,130 405,861 4,647.70 5,775.58
Total 8,205,143 9,124,300 93,726.60 101,905.84


As seen above, the number of transactions through ATMs constitutes 96% of the total transactions. This
clearly indicates high rates of using cash. In 2009, the number of commercial banks that offer home banking
services is 10. It has increased by 2 compared to the previous year 2008. Home banking services enable the
banks customers to access their bank accounts from home, using internet connection, phone line and a client
software made available by the bank. The number and value of home banking transactions have increased
throughout 2007-2009 as seen in Table 7.

Table 7. Home Banking Transactions in Albania

Home Banking 2007 2008 2009
Number of Transactions 42,447 88,261 136,482
Value of Transactions
(Million Lek)
48,492 63,423 78,156


Table 8 shows that internet banking is the only home banking service during two consecutive years. Besides,
the number and value of internet banking transactions has increased in 2009. This indicates a rising interest
towards internet banking transactions. The increasing number of transactions suggests to the banks to
increase the service quality and investments as internet banking is concerned.

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Table 8. Internet/Phone Banking Transactions in Albania

Number of Transactions Value of Transactions (Million Lek)
Home Banking
Transaction
2008 2009 2008 2009
Internet Banking 88,261 136,482 63,423 78,156
Phone Banking 0 0 0 0
Total 88,261 136,482 63,423 78,156


6. Research Methodology

The conducted research aimed to:

assess the current situation of Albanian banks internet banking transactional sites
collect survey data from the Albanian banks offering internet banking services
investigate the legal framework for e-banking in Albania

7. Research Findings

7.1 Current Internet Banking Functional Transactional Sites in Albania

ABAflex was the first Internet banking product introduced by the ABA (former Intesa Sanpaolo Bank Albania)
in Albania in 2000. A review of the websites of the commercial banks functioning in Albania revealed that
currently only 10 of these banks have transactional sites. An overview of internet banking services provided
by those banks is presented below. It is also important to mention that First Investment Bank is planning to
launch the service by June 2010. Similarly, International Commercial Bank has set internet banking
implementation as one of its top priorities. The internet banking services are also offered through mobile
channels via mobile phones. Tirana Bank, Alpha Bank Albania, BKT customers are particularly used to
mobile banking. Banks are continuously improving their online services. Helpdesk support is offered by all
internet banking transactional sites.

Intesa Sanpaolo Bank Albania (http://www.intesasanpaolobank.al)
Intesa Sanpaolo Bank Albania launched internet banking services to business and individual customers in
Albania through a web based product named ABAflex
7
in 2000. It currently counts 4,284 customers and total
number of transactions in 2009 was 79,655 (Intesa Sanpaolo Bank Albania 2010). It is developed by i-flex
Solutions. Best viewed with Internet Explorer and Mozilla Firefox, it benefits the users by its multilanguage
operability in Albanian, English and Italian. ABAflex offers multiple services as listed below:

- Balance inquiry
- National and international payments
- ABAdirect online deposit establishment
- Checking the deposits effected in the account in real time
7
https://www.abaflex.com/

275
- Printing Account Statement containing all transactions for a specific period
- Making the Utility Payment Orders in a simple way using the standard forms
- Checking the Total Position of the client company (balances of the accounts, information about
loans, time deposits, treasury bills, etc.)
- Payment in Cash to a third party E-mail facility under a secured connection
- Access to Bank Bulletin - for customer information on the latest bank news
- Digital certificate

Raiffeisen Bank Albania (http://www.raiffeisen.al)
The bank provides MultiCash
8
product to business customers. MultiCash is a PC software that enables to
communicate with the bank, allowing to send payment orders via internet. MultiCash supports domestic and
international payments at SWIFT standards and utilizes digital signature. The software is developed by
Omikron Systemhaus. Services offered include:

- Payment within Bank
- National Payment by SWIFT Standards
- International payment by SWIFT Standards
- Information on movements on account under standard SWIFT (MT 940)
- Printing transaction statements
- Exporting transaction statements to another program

Societe Generale Albania (http://www.societegenerale.al)
Pop E-Banking/SMS and Pop E-Banking/Net
9
are two popular services offered by Banka Popullore. The
former is based on a SMS platform, whereas the latter allows accessing the services through Smart Card/PIN
code or Username/Password via a web interface. Having chosen the first option for authentication, customers
are provided with a smart card reader device which has to be installed on the users PC. This web
application is designed by Halcom Informatika in Slovenia. It is offered in Albanian language and it is best
supported by these web browsers: Microsoft Internet Explorer 6.0, Netscape Navigator 7.2 and Mozilla 1.5.
Pop E-Banking/Net offers these services:

- Balance inquiry in your domestic and foreign currencies
- Information about transactions made in your account in your domestic and foreign currencies
- Domestic payments
- Non-term deposit payments
- Budget payments
- International Payments
- Registry of orders
- Archives all order payments made through the Pop e-banking/net
- Printing/Exporting

8
Web interface: https://ebanking.raiffeisen.al
9
https://webebank.ebb4all.com/webbankALB/loginCer.jsp?bank=PUPP

276
Credins Bank (http://www.bankacredins.com)
Credins Online
10
SMS & Electronic Banking released by Credins Bank in 2007, provides transaction service
through phone and internet allows accessing the services through Smart Card/PIN code or
Username/Password via a web interface. The first option for authentication requires customers to be equiped
with a smart card reader device which has to be installed on the users PC. It is also designed by Halcom
Informatika in Slovenia. The number of users and the volume of transactions have been increasing. At the
end of 2009, 400 user accounts, 6500 internet banking and 1160 SMS transactions were reported by Credins
Bank (Credins Bank 2010). The product is available in Albanian and its services include:

- Balance inquiry in domestic and foreign currencies
- Information about transactions made in your account in your domestic and foreign currencies
- Domestic payments
- Budget payments
- International payments
- Registry of orders
- Archives all order payments made through the Credins Online
- Exporting to another program
- Statement printing

National Commercial Bank BKT (http://www.bkt.com.al)
BKT E-Banking
11
is a bilingual (Albanian and English) on-line service to BKT clients allowing to make
transactions from all the branches in Albania. Despite other useful services, the e-banking at BKT was limited
to transfer of funds for banks corporate customers. It is compatible with Internet Explorer, Mozilla Firefox and
Netscape Navigator browsers. BKT E-Banking functionalities are as following:

- Internet/Mobile banking
- Balance inquiry
- Get your account statement
- Information about transactions
- Domestic money transfer
- New online deposit account opening (with 0.2% profit)
- Financial bulletin access
- Debit/Credit cards transactions inquiry
- Mobile Banking

Veneto Banka (http://www.venetobanka.al)
Veneto Banka Internet-Banking
12
application is offered is available in 2 languages: Albanian and Italian. It
provides services to several Albanian and Italian business enterprises operating in Albania and is best
viewed with compatible with Internet Explorer, Mozilla Firefox and Netscape Navigator. The following
services are delivered by this product: provides transfer service, bill payments and account information.
10
https://webebank.ebb4all.com/webbankALB/loginCer.jsp?bank=CDIS
11
http://www.ebank.bkt.com.al
12
https://www2.csebo.it/webbanca/99204login

277
- Bill payments
- Balance inquiry
- Account information
- Money transfer
- Digital signature

Alpha Bank Albania (http://www.alphabank.al)
Alpha Web Banking
13
application provides internet banking services. It is bilingual (Albanian, English) and
best viewed with Internet Explorer and Mozilla Firefox. Main functionalities include:

- Internet/Mobile banking
- Free of charge Bill payments
- Mobile banking
- Balance/Statements/Loans/Deposit inquiry
- Account information management
- Money transfer
- Single/Multiple Transfer monitoring
- Additional Password Services

Tirana Bank (http://www.tiranabank.al)
It was during 2008 that Tirana Bank launched their internet banking product. Tirana Bank Online
14
allows the
corporate customers to receive information, to transmit orders and to carry out banking transactions by the
use of a variety of technological methods and infrastructures like Internet, fixed-line telephone
communications network, the networks of the mobile phones. Winbank the Piraeus Bank e-banking
application which Tirana Bank Online overrides its features from, has been ranked as one of the best
services in Greece for 8 consecutive years. Tirana Bank Online is also available in Albanian and English and
provides its users with various services:

- Phone/Internet/Mobile banking
- Get information about: account balance/transactions/debit/credit statements/consumer/house
loans/daily bank bulletin
- Interbank/domestic/international money transfer
- Mobile bill/loan installments/credit card payments

Procredit Bank (http://www.procreditbank.com.al)
Pro E-banking
15
the newest service launched by ProCredit Bank in January 2009, enables the customers you
to have direct access to your bank accounts via Internet. Offered in Albanian and English, currently 1450
customers use Pro E-banking. The average transaction volume per month is estimated 900,000 Euro.
Offered services include:

13
https://secure.alphabank.al/corporate/CorpLoginLangEng.html
14
https://mobile.piraeusbank.com/Login.aspx?siteCode=SQ&cultureName=en-US
15
https://ebanking.procreditbank.com.al/

278
- Accounts/deposit/credit card information
- Statement view/Print
- View last 100 e-banking operations
- Same currency interaccount/interbranch domestic transfer
- Different bill payments

Union Bank (http://www.unionbank.com.al)
UB-Online
16
is the newest internet banking service that started in 2008. The application works in 3 payable
modes: Read Only (RO), Half Option (HO) and Full Option (FO). Customers are categorized according to the
service type and functionalities they have chosen to subscribe for. Union Bank counts a total of 650: 450 RO,
150 HO and 50 FO customers. (Union Bank 2010). It is best viewed with Internet Explorer, Mozilla Firefox
and Opera. UB Online service types are as listed below:

- Optional functionality modes:
o Read Only (1 Euro/month): personal/business accounts
information/balances/transaction/payment/exchange rates inquiry in text/excel format
o Half Option (3 Euro/month): Read Only functionalities/Only Union Bank payment/transfer
inquiry (utilities, taxes, etc)
o Full Option (5 Euro/month): Half Option functionalities/ domestic/international
transactions/payments inquiry
- Account information in different currencies
- Deposit opening
- Fund transfer to personal accounts/within Union Bank
- Domestic/international payments
- Utility payments/Periodic facilitated payments via predefined templates
- Data maintenace
- Secured data channel/Password authentication/Smart token
- Bank Bulletin Access

8. Survey Results from Albanian Banks Offering Internet Banking Services

Questionnaires were distributed to 10 Albanian banks whose internet banking transactional sites are
functional. Here is a summary of our survey results. When asked about their Total Assets, 31% of the banks
answered they have Total Assets of less than EUR 50 millions, 6% of the banks have Total Assets of EUR
51-100 millions, 18% have Total Assets of EUR 101-300 millions and 44% of the banks have Total Assets of
greater than EUR 300 millions. Another important question was made to the banks regarding the number of
people/day visiting their websites. Results state that 78% of the bank websites are visited by 1001-3000
people/day while 22% of them are visited by less than 1001 people/day. 20% of the banks have been offering
internet banking for more than 4 years, and 80% of them have been offering internet banking for at least 1
year and at most 4 years. Banks were asked how frequently their websites are updated. 70% of them
answered monthly update while 30% of them said their websites are updated weekly. Additionally, banks
were questioned the reason why they offer e-banking services. Interesting results show that 50% of the
banks offer e-banking to gain competitive advantage, 40% of them offer e-banking due to some pre-planned
16
https://www.ubank.al/netbanking/CorpLoginLang.html

279
objectives and only 10% of them offer e-banking because of customers demand. All the banks answered
they use e-banking for performing transactions, for giving out promotional information about their products
and services as well as offering terms, conditions and fees on their websites. Among individuals, SMEs,
corporate customers as their target groups for e-banking, 80% of the banks answered they offer e-banking
for all three groups, while only 20% of them offer e-banking for corporate customers only. E-banking has
been speeding up services to the customers of 70% of the banks, while not promoting any change to 30% of
them. Customer Relationships have been improved by offering e-banking in 60% of the banks, while 40% of
them have not experienced any improvement in the relationship to their customers. 60% of the banks use
leaflets to advertise their e-banking services and website, 20% of them use media while 20% of them use
leaflets, media and internet advertisements. Oddly, all banks stated that their customers would still prefer real
bank branches to e-banking services. The reason is lack of computer technology literacy, public informing
about e-banking and security issues regarding electronic transactions.

9. The Legal Framework for E-Banking in Albania

Internet banking in Albania has been conducted during the XXI century, and therefore legal regulation is
recent. Principal legal basis on which banks operate are the Law no. 8269, dated 23.12.1997 "On Bank of
Albania"
17
and Law no. 9662, dated 18.12.2006 "On Banks in the Republic of Albania". Among the powers of
the Bank of Albania, lies the right to promote, support and develop the payment system
18
. Article 21 of the
above law determines that: "The Bank of Albania, in cooperation with other banks, has the right to set rules
and procedures for payment instruments that are used as means of payment, electronic funds transfer
services and telegraphic services as well. Additionally, this article determines the right of this bank to create
and maintain an information network for the banking system, which gives to the bank the right to supervise all
payment systems in particular payments made via the internet.
Issuing of payment means in the form electronic money is part of the banking activity of Albanian second
level banks
19
. The Albanian legislator in Article 54 of Law No.9662, dated 18.12.2006 "On banks in the
Republic Albania", has been cautious over self repetition, thus resulting in having made a reference to Article
4. In second paragraph of this Article the concept of financial activity
20
is explained. In an expanded
interpretation of paragraph d, of this article the legislator has included itself and the process of internet
banking in the term "all payment services and money transfer".
These two laws should be interpreted in accordance with the Stabilization and Association Agreement
21

(abbr. SAA), since the latter is more recent. Articles 89 and 90 of the SAA
22
are two main sections that
17
Substituted by Law nr.8384, dated 29.07.1998 and Law nr.8893, dated 25.07.2002 "On some amendments to Law No. 8269, dated
23.12.1997" On Bank of Albania ".
18
Read Article 3/paragraph 2 and 4 of Law no. 8334.
19
Read Article 4/paragraph 1, paragraph 3 of Law No. 9662, dated 18.12.2006 "On banks in the Republic of Albania".
20
Financial activities include:
a) all forms of lending, including credit consumer and mortgage loans;
b) factoring and financing of commercial transactions;
c) leasing;
d) all payment services and money transfer by including credit cards and debit cards, traveler's checks,
banking checks and payment cards; Article 54/paragraph 2 of the above law.
21
Read Article 116 of the Constitution of the Republic of Albania, under the hierarchy of sources of law, international agreements ratified
by the law stand above the domestic laws. Also see Article 116 and 122.
22
Article 89 states that: "Cooperation between Albania and the EU Community will focus on priority areas related to the Community
acquis in the fields of banking, insurance and financial services. The parties shall cooperate with the aim of establishing and developing
a suitable framework for promoting the sectors of banking services, insurance and financial in Albania. "Article 90 states: "Cooperation
between the parties shall focus on priority areas related to the Community acquis in the fields The public internal financial control (PIFC)
and external audit. The parties shall cooperate in particular to develop an efficient system of PIFC (Control of Public Internal Financial)

280
address the main obligations of the Albanian State in relation to this act. What is immediately visible is that
the term refers mainly to banking and financial services, enabling the interpretation of terms in accordance
with European Union laws and acts of state.
One of the most important legal acts to the development of information society claims that there has been
some development in the provision of electronic public services in some sectors with deficiencies in other
directions
23
. This strategy emphasizes the public and business education on the use of internet banking
24
as
one of its priorities. This legal act highlights traditional services provided by second level banks focusing on:
deposits, accounts and transfers. It is believed that the rise in number of electronic payment cards will be an
incentive factor to the use of internet banking.
All of the above mentioned legal acts are of a general character. The special arrangement of internet
banking is realized through the Central Bank acts, specifically due to the decisions of the Supervisory Board.
Regulation "On payment systems and instruments", approved by Decision no. 148, dated 20.11.1998 of the
Supervisory Council, the Cemtral Bank of Albania provides various payment systems, but does not mention
internet banking. Regulation "On supervision of electronic banking transactions" approved by Decision No.
28, dated 30.03.2005 of the Supervisory Council of Bank of Albania is the act that makes adjustment to
internet banking. By definition, this regulation states: organizational conditions, conditions related to
personnel and technical conditions for the implementation of electronic banking transactions (e-banking);
requirements related to verifications conducted by the Bank of Albania regarding e-banking service, and risk
management principles of e-banking service. The term e-banking means traditional and new products and
services provided in distance through electronic channels of distribution and communication products and
services. This regulation defines the obligations that banks have to fulfill in order to provide this service. It
also charges the Bank of Albania with the obligation to control every aspect of this service, from the moment
when the the second level bank files a request up to the delivery of this service and ensuring the
confidentiality of customers' personal data. "Supervision of payment and settlement systems is a function of
the Central Bank of Albania, under which the security and efficiency are promoted by monitoring existing and
planned systems, assessing them regarding these objectives and, where necessary, stimulating change".
25

By Decision no. 11, dated 06.02.2008, the Supervisory Council has approved the regulation "On the
electronic payment instruments". This regulation clarifies at best its action object and in relation to the above
acts, as a tangible act that defines and analyzes concepts including electronic payment, electronic payment
instrument
26
, etc. Internet banking is included in the category of electronic banking services provided through
electronic means of communication.
Internet banking is a service that allows the holder
27
to perform various banking transactions, including
orders via Internet. The 2008 regulation does the term holder, not the term client anymore, thus using a
terminology in accordance with the obligations stemming from the objectives of the Albanian state
membership in various international bodies. The Central Bank' s Supervisory Council, by decision no. 38,
dated 11.06.2008 has approved "Oversight policy document for payment and settlement systems", which
defines that the assessment process of the payment system conducted by the Bank of Albania shall include
the manner in which electronic payments are performed in the context of Electronic Banking Regulation and
Electronic Commerce, and the type of products and services that support these payments. Electronic
and external audit systems in Albania, in accordance with standards and internationally accepted methodologies and best practices of
the EU".
23
Read Intersectorial Strategy for Information Society (ISIS) 2008-2013
24
Read ISIS pp. 18-19 for facilities provided by internet banking, and pp.23-24 for internet banking advantages.
25
Read Decision no. 38, dated 11.06.2008 for approval of the document "Oversight policy document for payment and settlement
system."
26
Read Article 4 of Regulation No. 11 "On the electronic payment instruments", of the Bank of Albania.
27
Holder is the person who, under the relevant contract with the issuer holds an IPE (Electronic Payment Instrument).

281
payments will be examined, mainly in terms of operational reliability and implemented security measures
28
.
Regulation "On the transparency for banking products and financial services" is approved by the Supervisory
Council of Bank of Albania, by Decision no. 59, dated 29.08.2008, as amended by Decision no. 14, dated 09.
03. 2011 of the Supervisory Council of Bank of Albania. The purpose of this regulation is to define
requirements on the manner and form of providing information to customers on banking products and
financial services offered by the subjects of this regulation, to ensure transparency and customer protection.
The Central Bank of Albania, in the context of broader public education to the concept of payment systems
and instruments and methods used, has published a brochure on "Payment System"
29
. Among the means of
payment explained in this brochure, a great priority is given to stimulate customers into using internet
banking, as well as highlighting the advantages and efficiencies of this payment system.

10. Conclusions and Suggestions

At first, this study aimed to assess e-banking in Albania and investigate banks which offer this service. As a
conclusion, e-banking services are offered by 10 out of 16 banks physically operating in Albania. These
services seem to be advantageous for most of these banking institutions in terms of service speed-up and
improvement of customer relationship even though there are still measures to be taken to to increase the
number of banks that take full advantage of the mentioned benefits. One of the main reasons for
implementing internet banking services is to gain competitive advantage and to keep up with their
competitors which is also supported by Booz-Allen & Hamilton Survey (1996). However, more efforts need to
be spent organizing educative campaigns to approach more customers towards e-banking services and to
decrease cash usage which is still high and more preferable than electronic cash. Given that banks mostly
use paper media for marketing purposes, use of electronic channels are advised in order to cut related
expenses and advertise to a broader audience. Assessing current situation of e-banking provision by banks
and their customers attitudes towards e-banking in a transition country such as Albania, will help banking
institutions to define aggressive marketing strategies, to set informative campaigns regarding issues of
security and e-banking usage.
Our second aim was to analyze legal framework of e-banking in Albania and to suggest possible
solutions. It was found out that the legal framework for regulating the payment system is incomplete.
Moreover, internet banking is regulated only through the bank's internal acts and decisions by the
Supervisory Board of the Central Bank of Albania. The full act is the Regulation "On supervision of electronic
banking transactions", dated in 2005. It is strongly suggested that the Albanian legislator overlook the legal
framework on banks. A more tangible act must be drawn, such as a decision of the Council of Ministers or an
Order of the Ministry of Finance to specifically regulate internet banking, as a system of payment instruments.
Our suggestion is that the whole normative framework should be reviewed in accordance with the acquis
communautaire, in the framework of the EU membership perspective. Besides the legal framework, there are
major deficiencies concerning public information. There is a need to raise the awareness of the Albanian
population, especially business entities and students towards the use of internet banking as an efficient
movement of material goods.

28
Read Supervisory Council Regulation no. 38, dated 11.6.2008 "Oversight policy document for payment and settlement systems".
29
http:// www.bankofalbania.org.

282

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Booz-Allen & Hamilton Survey. (1996). The Emerging Digital Economy. Resource document.
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Bushati, M. (2008). Evolution of the Albanian Banking System. Honors College Theses. Paper 76. Pace University, USA.
Central Bank of Albania Annual Reports. Resource document. http://www.bankofalbania.org/web
Claessens, S, T Glaessner and Klingebiel (2001): E-finance in Emerging Markets: Is Leapfrogging Possible?, World Bank Financial
Sector Discussion Paper, No 4, June.
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Gates, B. (1997) No one is really living a web lifestyle yet, New York Times, 29 July, Available from:
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Gurau, C. (2003). E-banking in transition economies: The case of Romania. Journal of Financial Services Marketing, 6(4), 362378.
Hawkins, J (2002): E-finance and Development: Policy Issues, Bank for International Settlements, March, (www.bis.org).
HSBC Albania Report. (2007). Resource document. http://www.hsbcnet.com/transaction/attachments/pcm/pdf/albania.pdf
Internet World Stats. Resource document. http://www.internetworldstats.com/euro/al.htm.
Khalfan, A.M., & Alshawaf, A. (2004). Adoption and implementation problems of e-banking: a study of the managerial perspective in the
banking industry in Oman, Journal of Global Information Technology Management, Vol. 7, No. 1, 47-64.
Kohli, S S (2003): Indian Banking Sector: Challenges and Opportunities, Vikalpa, Vol 28, No 3, July-September, pp 85-89.
Lustsik, O. (2003). E-Banking In Estonia: Reasons And Benefits Of The Rapid Growth, Faculty of Economics and Business
Administration Working Paper Series 21, University of Tartu, Estonia.
Mishra R. K., & Kiranmai J. (2009). E-Banking: A Case of India. The Icfai University Journal of Public Administration.
Nune, A., (2003). Internet and Albania: a Paradoxical Ambivalence, http://soemz.euv-frankfurt-o.de/media-
see/newmedia/main/articles/a_nune.htm.
Pikkarainen, T., Pikkarainen, K., Karjaluoto, H. and Pahnila, S. (2004). Consumer acceptance of online banking. Internet Research. 14
(3), 224-235.
Sushant Kumar (2001): E-finance in a Developing Country Like India, ICICI Bank.
Turner, P (2001): E-finance and Financial Stability in R Litan, P Masson and M Pomerleano (eds), Open Doors: Foreign Participation in
Financial Systems in Developing Countries, Brookings Institution, pp 389-410.


283

Egungun Tradition in Trado-Modern Society in South-Western Nigeria

P. S. O. Aremu

Department of Fine and Applied Arts
Obafemi Awolowo University,Ile-fe.

Biodun Banjo. O
Yaya Olanipekun

Tai-Solarin University of Education,
Ijebu-Ode, Ogun State,S Nigeria
Email: badatayo2@yahoo.com.

Doi: 10.5901/mjss.2012.03.01.283

Abstract Series of Authors have expressed their notions on Egungun tradition where it is still being practiced. The present
situation calls for a review and re-assessment of the turn-around of its efficacy as it involves other believers (Christians and
Muslims). Generally, people of the world are religious in nature, because of this simple fact, the creator-God, referred to as
Olodumare among the Yoruba, is usually called upon in both the emergencies of life, day-to-day blessings, invocations, and
salutations. People attach themselves to one deity or the other for their survival in this hostile world. Mbiti (1969) states that
Africans are notoriously religious and that the whole organization of the society is maintained by the spiritual forces that pevades
it. In support of this submission Parrinder (1954) also is of the opinion that the whole of existence is a religious phenomenon.

Key words: Egungun, tradition, religions, spiritual, ancestors, festivals, trado-modern, society.

1. Introduction

Black Africans to include most of the black people in Diaspora, believe that there is the hierarchy of spirit
forces. There is God, the creator of heaven and earth, called by different names in different parts of the
world. The spirits and other deities amongst which is the Egungun masquerade are seen to be his
mouthpiece on earth. The general picture in the Black societies the world over is that regular communal
prayers to God directly is very rare. He is approached through his intermediaries, the deities, spirits and
divinities, (egungun inclusive) to intercede for the good of the living.
In trado-modern society, even with the effect of adulteration of belief system, it is believed that the whole
universe is not static or dead but dynamic and powerful. There is a strong belief in high God and who all
powers flow even with the advent of Christianity and Muslim in place. Most people still believe that the
ancestral spirits live in the sky, on earth, and in trees, rocks, and in the bodies of water (Parrinder opt. cit.).
God is their creator and people often think about them in human terms or treat them as though they had
human characteristics such as the ability to think, speak, having intelligence and possess power, which they
can use at will.
Aside from this category, there is a special category of spirits in the living-dead, the ancestors better
referred to as Egungun masquerades, representing people who died and represented physically in costumed
figures. They are referred to as the living-dead different from ghosts. Egungun can talk, give commands,
express feelings and can be touched. Ghosts are invisible spirits who cannot do or perform the above listed.
Egungun live in the family and considered to still be part of the family. They are believed to be living |close to
their homes where they lived when they were human beings. They show interest in their surviving families
and in return the families remember them in form of festivals, and people feel more at home with them in both
memory and emotion.

284
2. Religion and Egungun

In Yoruba cosmology, man is believed to be at the center of the whole universe and created by the Supreme
Being, God. Therefore religion permeates every facets of life, and it is believed that religion is the strongest
element that exerts probably the greatest influence upon the thinking and living of the people concerned
(Mbiti, Ibid). Religion is therefore always with the people most especially among the rural communities
because their life is closely tied to the land and to the traditional culture (Mbiti Ibid). In Trado-Modern
societies, people still believe in the active existence of the spirits of the dead ancestors Egungun. They pay
homage inform of festival that stands as the magnetic force that draws us nearer to the Creator God
through worship.
In the distant past, Egungun worship embraced a larger population of the traditional society because it
was than used as an attribute of religious beliefs. The worshippers cherished its tradition and equally
believed in expressing the romantic passion they had in their day-to-day existence here on earth. For this
reason, they had full regard for the spiritual, mythical and physical realities of life (Aremu, 1991). In order to
comprehend the unending circle of religious belief they had, there was the need for them to gain an insight
into the importance of egungun worship. In the present trado-modern society most still believe that egungun
is the giver of power to create spiritual and mythical illusions during socio-religious worship the egungun
festival. They still have the belief that egungun is capable of giving to them an endless energy and
unconquerable might and power over all detractors who may wish to tamper with their utmost trust in
egungun tradition.
As it was in the past, special regard is usually given to egungun whenever they appear because they
are incarnated figures with power from the spirit world. As other deities are in the society, so is egungun
among the adherents. They worship him, offer sacrifice and rituals and all other religious observance
performed. Among the Yoruba of south-western Nigeria most especially in Ibadan, Ile-Ife, Modakeke, Oyo,
Ogbomoso, Shaki and other Yoruba towns and cities, they still pay homage to the ancestral figures inform of
festivals, and all taboos are vehemently adhered to.
It is important to note that the former interest and intensity of purpose of the past have reduced among
the adherents. What we have now as egungun festival and worship is an image of what we were used to in
the past years (Personal Communication). Things are not as what we used to have, she further added. At
Okejan area of Ile-Ife, a male adherent also submitted that the past traditional heritage surrounding egungun
worship has been variously embellished thus the reduction in its efficacy (Personal Communication). This
notwithstanding, special religious regard is still being given to its worship during annual festivals.
In fact its worship should not be seen as going against our modern religious beliefs, since masquerade
is a representation of our dead father, its annual appearance should not be seen as a religious celebration
alone, but as a welcome, whereby the left behinds would then create joyous atmosphere to receive him
casually with fun fare before he departs to the world of the spirits. Since he is higher in rank and can
incarnate power from the spirit world, problems such as persistent sickness, poverty, barrenness in women,
poor harvest and general backwardness of the entire community are taken care of when he appears and if
properly and adequately appeased with rituals. What is important to realize is that the spirit world, ranging
from God to nature spirits and the ancestors, can to some degree be manipulated since the traditional
societies are concerned with the maintenance of the spiritual well-being and stability of the individuals and
the group in the society. Egungun festival is therefore the main avenue during which our father, baba wa; or
my father, baba mi, could be approached with various requests that relate to the sustainability of the society
or individuals.
The most important reason for this festival is to stimulate the spiritual father to be happy and in return,
give blessings and all the good things of life as it was believed in the past by the traditionalists and
adherents. Respect is accorded egungun partly because man can never fully understand the ways of the

285
ancestral spirits, and also because their mythical strength is based on laws of the cosmic order, which is very
difficult for human to comprehend.
In the trado-modern societies, egungun festivals provide a joyous occasion when families and relations
re-unite to give thanks to God and their ancestors. Friends and relations come from far and near to renew old
covenants and acquaintance and make merry.

3. The Costumes

Whenever egungun costume is mentioned, the picture that comes to the fore is the spirit that sojourns in the
costume worn. The costume and the spirit inside the costume make the masquerade. Aside of this, according
to Kilani Ojekunle of Ile Jagun in Ikire (a town in Osun State) masquerade should be looked at as a mirror
with which the ancestral spirit could be imagined, most especially the elder masquerades with their fearful
look.
During the annual egungun festival, there is always a visual representation of a variety of costumes and
masks. Some costumes are tent-like, with the inclusion of tray-like embankment used as a carrier of charms,
animal bones and skulls of monkeys, snakes etc. (Aremu, 1991). The usage of these medicinal and ritual
emblems is fast fading out giving way to visual aesthetics. In like vein, the former traditional hand woven
cloths called Kijipa among the Yoruba are now being replaced with colourful velveteen, aran and Ankara
cloths, which are often ornamented with beads, mirrors and other contemporary emblems.
In Yoruba area, the origin of egungun costume most especially those under the category of elder
masquerade, eegun agba, which consists of big and tight fitting cloth at the ankle-line to which a pair of cloth
shoes is shown is linked with myths and legends. According to the historical hand out and oral history of the
Yoruba, egungun costume was first used to bring an abandoned corpse from the bush into the town under
the pretext that it was the spirit of the dead that had returned. While another claimed that the first egungun
were the heavenly beings Saiyegun, so aye gun, sent by Olodumare to help stabilize the earth at a period it
threatened to collapse. Again, some people even believe that the Yoruba borrowed the egungun tradition
from Nupe, their northern neighbours who had once used the mask on the costume to terrorize them. Yet
another oral handout even suggests that there lived an old man who was loved by everybody eventually died,
his people decided that in order to make his name immortal, his popular wrapper, Aso Ibora, made of Kijipa,
a traditional hand woven fabric, be used as an egungun costume devoid of spirituality.
The former status of most of the costumes worn during the annual or occasional festivals or worships
has reduced to visual aesthetic value, the efficacy of the costumes has greatly reduced to mere
entertainment structure. Modern or contemporary emblems have assumed larger preoccupation of the
festivity. In most egungun costumes, the co-called religious or ritual attachments such as cowries, owo eyo;
parrots tail, iko ode; black medicinal soap, ose ogun dudu; sculls of wild animals, such as snakes, monkeys
etc have disappeared to give way to mere visual anticipation (Aremu 1995). The reason for this drag-foot
change lies in modernity that has taken full control of the traditional situations.

4. Egungun and the Society

In every society, the laws of nature are regarded as being controlled by God directly or through his servants
of which Egungun is one, because he has been elevated to a higher level of existence through death. There
is a moral order given by God, so that people might live happily and in harmony with one another. This moral
order, customs and institutions have risen in all societies to safeguard the life of the individual and the
community. Any breach of such morals is an offence against the departed members of the family and against
God.
The cream of the Yoruba culture is masquerading. This is a blunt fact that may not be contested or
belaboured (Aremu, 1995). Egungun tradition is a complex institution in Yoruba land and in other areas east

286
of the Niger. It is annually celebrated to give great honour to the ancestral spirits. Egungun festival is very
paramount in the hearts of every traditionalist and it is believed to be able to touch every sector of the
society. It is the belief of every traditional Yoruba man that the whole society is maintained by the spiritual
forces and that the invisible world presses hard upon the visible, and that the mystical power of the ancestors
can be potentially used for curative, protective, productive, and preventive purposes.
Among the Igala people of Nigeria, for example, Egu Orumamu, the most important of the masks or
spirits is worshipped so as to increase their farm yield. It is also used for social control and sees to the well
being of the society. Criminal cases are brought before it for adjudication. Thus it gives to the community and
the society at large a broad sense of security because Egungun is the epitome of security, moral and social
order. To this end, they have full regard for the spiritual, mythical as well as physical realities of life. So in
order to enjoy this circle of life, there is the need to put their trust in what is greater than life itself. To them,
what is greater than life is capable of giving to them an endless energy and unconquerable might and power
over all detractors in life, Egungun happens to be one of those things to be trusted. Egungun helps to keep
moral order in the society, this is because they believe that moral order helps them to work out and know
among themselves what is good and evil, right and wrong, truthful and false. Each society is able to formulate
its values because there is moral order in the universe, partly supervised by the ancestral spirit, Egungun and
other deities. To them and to other believers of Egungun tradition, the ways of the ancestors cannot be
explained, and he cannot be fully known. Thus he is unknown, unexplainable and fathomless. Taboos
which strengthen the keeping of moral and religious order are adhered to very strictly. Breaking a taboo
entails punishment in the form of social ostracism, misfortune and even death. If people do not punish the
offender in the society, then the invisible would. This view arises from the belief in the religious order of the
universe, in which God and other invisible beings, of which Egungun is one, are thought to be actively
engaged in the world of men.
Murder is for the Igala people the most serious crime as it is amongst the Yoruba people. This is
equally so amongst many ethnic groups in Black African countries. Egungun will demand that the family or
village of the murderer seek out and give up the criminal, else the entire village or family compound would be
quarantined and cut off from the rest of the society; and no one is allowed to enter or leave the compound
until the murderer is apprehended. This act is not an ideal gesture, for it implies economic disaster; farms
cannot be tended, water from the communal village source cannot be collected and there can be no hunting
activities. In short, all subsistence and communal activities come to a halt, and the group is actively cut off
from the rest of the society until it has identified and surrendered the criminal. This practice was equally
embarked upon in other areas where egungun was cherished in the past years. Egungun used to serve the
communities in a large number of contexts, it served as basic survival, several judicial functions and peace
making. Thus it gave to the societies and communities where practiced, a broad sense of security in life.
Religion and laws are the most powerful legal sanctions to the traditionalists, coming directly from God and
masquerade, being one of the agents of the creator God. As it is commonly believed that justice is one of the
main pillars of morality; it is therefore the desire for justice and truth which moves one man to ask his
accused person to swear by the spirit of the ancestor, this rubberstamps the trust in the spirit. This ancestral
spirit enhances a great sense of justice since he is believed to be just, honest and truthful. Whatever he says
during his annual visits to his people is considered final. But sometimes this could be manipulated or
changed to suit a purpose in life, if well appeased. All the powers got from the deities including the ancestors
are very important to the sustenance of the living beings. In return, these powers help man in his incessant
fight against diseases, drought or even witchcraft. Such uses ensure a secured, healthful, and fruitful life for
the individuals or groups in the society. Thus African societies generally, tend to use this spiritual power
openly and publicly for the general well being of the individuals. Egungun is an ancestral spirit in which
descendants harness spiritual power to purify and cleanse the society and its inhabitants of malevolent forces
(Personal communication). This ancestral figure is seen as the source of answers to all problems of the
worshippers.

287
In the society where egungun tradition is embraced, it is seen as the mouth piece of that society and
with this notion; the scope, purpose and religious implications have broadened among the people. In like
vein, the pronouncements of the ancestral spirits are decrees which are obeyed implicitly.
Egungun festival, which is one of the most important and essential aspects of egungun worship,
functions more on a communal rather than on individual basis. For example, its beliefs are held in a high
esteem by the society or community; therefore it does not matter much whether or not the individual accepts
all these beliefs attributed to its worship. In most cases, the festival is celebrated mainly by a group of the
family, relatives or the whole society in an area or by those engaged in a common belief. During this period,
the life of the society or community is renewed because egungun worship is an essential part of the way of
life. Its influence covers all of life even if an individual is converted to another religion such as Islam or
Christianity, this should not mean abandoning the culture and belief system altogether. This is what is
happening in trado-modern societies in Yoruba land. African religion generally, affirms life, and celebrates
life. People in the society do not sit down meditating upon life, they ritualize life, they drum life, they shout life,
they ceremonize life, they festivize for the individual and for the well being of the community (Mbiti, 1959),
through the various deities of which egungun is primary. People know that they are alive and they always
want to celebrate the joy of living. Where there is no real conflict between Egungun tradition and other
religions, the convert retains much of his or her cultural and religious background as long as he or she
remains within the traditional set-up of life. This annual festival involves wearing masks and costumes,
dancing, feasting, making offerings and sacrifices, praying, blessing people and general jubilation. During
annual festivals the life of the society is renewed; and people are entertained, and their tensions find an
outlet. These festivals bring together the people as a group, thus strengthening their unity and cohesion.
Religious and social values are equally repeated and renewed during these festive periods; and there is
always a communication with the spirit world, and there is also a link between human beings and the spirits
and yet the two world are kept at a healthy distance from each other dovetailing and yet neither interfering
in each other (Mbiti, opt. cit.). Man seizes such occasions to solicit blessings from God through the ancestral
spirits the Egungun Masquerades. He therefore tries to be in harmony with the ancestral spirits. It is
pertinent to equally add that man is not the master in the universe, he is only at the center, the friend, the
beneficiary, the user, and has to obey the laws of natural, moral and mystical order. Therefore, man looks for
the usefulness of the universe; this means both what the world can do for man and how man can use the
world for his own good.

5. Conclusion

Lastly, much of what we see and discuss about Egungun Masquerades today relates to a way of life that has
been significantly affected in the past centuries by changes in our beliefs and aspirations as well as the
economic and political change (Delange, 1974). A few of these changes attempted a frontal attach on the
religious beliefs of the people. Nonetheless, they had the subtle but demonstrable effect of undermining the
old values of the past that supported egungun worship as well as other traditional and religious activities in
Yoruba land. What we used to have in the past concerning Egungun masquerade has actually changed form.
New era has brought about changes in the outlook, worship and belief system in trado-modern society in
Yoruba land. Could this be referred to as a step forward or a reduction in traditional religious beliefs.


288

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289

The Diplomacy of the Great Powers Towards Albania in the Context
of the Adriatic Question

Esilda Luku

Faculty of Political Sciences and Law
University Aleksandr Moisiu, Durrs, Albania
esildaluku@yahoo.com

Doi: 10.5901/mjss.2012.03.01.289

Abstract This paper aims to analyze the factors that influenced the diplomacy of the Great Powers towards the Albanian
question at the Paris Peace Conference (1919-1920). Treated not as a special case, its fate was integrated with the solution of
the Adriatic question, meaning the rivalry between Italy and Yugoslavia to exert influence over the Eastern Adriatic. Thus, the
Great Powers didnt respect the sovereignty and the territorial integrity of Albania aimed at meeting its neighbors intentions,
such as: the Italian sovereignty over Valona and the hinterland, and the mandate for a small autonomous state in the Central
Albania; the Yugoslavian pretensions to the North part of Albania and the Greek claims for the so-called Northern Epirus. For
that reason, the Great Powers reached political compromises and signed the memoranda of 9
th
December, 1919, and the
agreement of 13
th
January, 1920, that foresaw the fragmentation of Albania between three neighboring countries. Fortunately, it
was the decisive role of the American President, W. Wilson that separated the Albanian question from the Adriatic one and let it
open to be discussed to other international forums.

Keywords: The Paris Peace Conference; the Great Powers diplomacy; the Adriatic question; the sovereignty and the
territorial integrity of the Albanian state;

1. The Great Powers Diplomacy Towards the Albanian Question at the Paris Peace Conference

After the First World War, the winning Great Powers called the Peace Conference on 18
th
January, 1919, in
Paris with the aim of setting the peace conditions and sharing the spheres of influence. All the participants, in
particular small countries hoped to find a right solution to their national question based on Wilsons principles.
The Entente declared that they had fought for justice, liberty and a new diplomacy, meaning the peoples
right to self-determination (Swire, 2005, p. 231). But, the Allies just consolidated the old diplomacy, causing
other problems in the post-war order. This fact was noticed in the position of the international factor towards
Albania at the Peace Conference, too. The High Council in Versailles didnt take into consideration the legal
request of the Albanian delegation to be represented on the Conference, in order to protect its rights against
the neighbors intentions and to ask for the accurate border division according to the nationality that
unfortunately didnt happen to the Conference of Ambassadors in London in 1912-1913 (The Academy of
Science of Albania. The Institute of History, 1975, p. 81). But, the Albanian delegates were accepted to
participate only to present their viewpoints in the commissions for territorial cases. Thus, the Albanian
problem was discussed indirectly, integrated into the Greek question and the Adriatic one. The treatment of
Albania at the Peace Conference as an object of bargaining and, even worse, the ignorance of its neutrality
placing it on the same position with the vanquished, an unjust and quite arbitrary act, was inequitable and
dangerous attitude. It caused not only an incalculable damage to the Albanian question, but also impeded to
make the Balkans a region of peace and stability in the future (Verli, 2002, p. 112).

2. The Fate of Albania and the Solution of the Adriatic Question

The meetings of the Peace Conference witnessed that the Great Powers diplomacy faced with difficulties and
disagreements in order to finish the peace treaties. In the beginning of April 1919, the Adriatic question was

290
considered a severe conflict, meaning the rivalry between Italy and Yugoslavia in the Adriatic, to which was
joined the solution of the Albanian problem, too. The diplomatic history of the Adriatic question began with
the Secret Treaty of London, on 26
th
April, 1915, signed between Italy, Britain, France and Russia. According
to it, Italy admitted to join the army beside the Entente instead of many territorial gains by the Adriatic and
other places and a loan of 50 million pounds from London. Naturally, the territorial provisions of the Secret
Treaty of London made a good deal between Italy and the Allies (Gurakuqi, 2006, p. 34), especially article 6
and 7 referring to Albania: Article no.6 Italy shall receive full sovereignty over Valona, the island of Saseno
and surrounding territory (from the Vjosa River, in the north, nearly up to the northern border of Himara, in the
south). Article no.7 Should Italy obtain the Trentino and Istria in accordance with the provisions of Article 4,
together with Dalmatia and the Adriatic islands within the limits specified in Article 5, and the Bay of Valona
(Article 6), and if the central portion of Albania is reserved for the establishment of a small autonomous
neutralized State, Italy shall not oppose the division of Northern and Southern Albania between Montenegro,
Serbia, and Greece, if it is recognized from France, Great Britain and Russia. The coast from the southern
border of the Italian territory of Valona up to the Bay of Stillos, will be neutralized. Italy will take the charge of
representation of the Albanian state in relation with foreign Powers. Despite this, Italy agreed to leave
sufficient territory in the east part of Albania to guarantee the existence of a border line between Greece and
Serbia to the west of the Ohrid Lake (The Archive of Institute of History (AIH), Tirana, A.V.57, p. 17).
The content of the Secret Treaty of London was used as a point of reference to the compromise policy
between the Great Powers and the Balkan countries aimed at solving the Adriatic question. That was the
result of the contradictions between Italy and Yugoslavia to divide the lands of ex-Austria-Hungarian Empire.
The Italian government claimed to annex not only the coast along the Eastern Adriatic, partly or entirely
inhabited by Slavs, but also the city of Fiume (Rijeka), inhabited mainly by Italians, that the Secret Treaty of
London left to Croatia (Yugoslavia) (Culaj, 2010, p. 231).
The Italian-Yugoslavian rivalry for the Eastern Adriatic determined the neighbors policy towards
Albania, too. The government of Italy aimed at receiving the ownership of Valona, as an important
geostrategic point in the Southern Adriatic and putting over the Italian protectorate the Albanian autonomous
state, that was foreseen to be established on the Muslim Central Albania. Also Roma requested that this
protectorate or control should be probably exerted over the Albanian borders of 1913 (The Academy of
Science of Albania, 2007, p. 131). While, the diplomacy of Beograd was double standard towards its
Southern neighbor. On one side, it supported the independence of Albania on the borders of 1913, with the
purpose of avoiding the Italian intervention in Albania. If Italy were a direct neighbor of Yugoslavia, it would
help to destabilize the multiethnic state. On the other side, the Yugoslavian government declared that if any
other country is given the right of invasion or protectorate over a part or the whole territory of Albania, it will
ask for the part that belongs in order to protect its fundamental interests.
Meanwhile, the Great Powers, much more France than England, tended to encourage Yugoslavia in
maintaining the balance of power in the Balkans against the Italian domination. The Prime Minister of
Beograd, N. Pasic, made efforts to provide even the support of the American diplomacy. He used the slogan
the Balkans belongs to the people of Balkans, as a mean against the Italian intervention in the Peninsula
and apparently hided his hegemonic intentions. Also Pasic estimated the Italian protectorate over Albania as
another source of conflict in the Balkans, similar to the question of Bosnia-Herzegovina (Milo, 1991, p. 75).
Thus, Albania held the old and preferred position of the Great Powers as a chattel of barter (Milo, 1987, p.
126).
The government of Yugoslavia, to maximize its benefits, sent a note to the Great Powers on 17
th
May,
1919. It requested that the new Albanian-Yugoslavian border should overpass the Black Drin River until it
joins the White Drin and there it follows the Drin bank up to the mouth of the Adriatic Sea. During the later
correspondence, Beograd used the well known alternative: in case Italy was present in Albania, Yugoslavia
claimed its right to annex the Albanian territories on the right side of Drin (Milo, 1987, p. 127).
When the neighbors threat of the Albanian independence and the territorial integrity was evident, with

291
the approval of the Great Powers, the government of Albania intensified the diplomatic activity to protect the
Albanian question. Through the memoranda sent to the Head of the Peace Conference, George
Clemenceau, the Albanian delegation opposed the unjust claims of the neighbors on the country division.
We have requested for the Albanians the right to have a free and an independent life with all the privileges of
a sovereign state and we have protested against every threat of our integrity and against the provisions of the
Secret Treaty of London (1915) that foresees the division of Albania, giving Shkodra to Yugoslavia, Valona to
Italy and Northern Epirus to Greece. But, it seems that we have not insisted much on our peoples decision to
energetically refuse every new fragmentation of Albania and on its strong will to become a factor of stability in
the Balkans building a State like other civilized and modern countries, all the Albanians together, despite the
region or the religion. The continuous charges of our opponents, who pretend that we are building a new
small Turkey in Europe, with the aim of grabbing the most civilized minorities, are only pretexts to hide their
unjustified intentions (AIH, A.V.25, p. 1).
In order to avoid the threat of the Albanian sovereignty, the political class revealed to the High Council
of the Peace Conference their readiness to accept a mandate for a certain period of any Allied powers, not
interested in Albania that will lead towards progress. According to the ex-British Commissioner in Albania,
Harry H. Lamb, in the note sent to the Prime Minister of Britain, Lloyd George, on 20
th
June, 1919, cited: The
general feeling of Albanians is against the Italian protectorate. They aspire to the independence lead by a
High Commissioner European or better American. In case of impossibility for an American, they want a
British one. If the protectorate is unavoidable, an Anglo-Saxon or French one will be accepted gladly, but
everyone is against Italians, because the force of their hatred is equal to their tensioned relations (AIH,
A.V.53, p. 11).
The Albanian problem remained overhanging because of the Adriatic question. The deepening
contradictions between Italy and Yugoslavia and the Cabinet reshuffle made Italy change its foreign policy in
the Balkans. The government of Francesco Nitti that came into power in June 1919 accepted the
compromise alternative to provide the support of Greece. Thus, on 29
th
July, 1919, was signed the secret
agreement T. Tittoni E. Venizelos. According to it, Italy was going to support, at the Paris Peace
Conference, the Greek pretensions on Southern Albania, instead of the Greek support of the Italian demands
to provide the mandate for the remaining Albania and the right to invade Valona and its strategic hinterland
(AIH, A.V.51, p. 66).
The Italian-Greek compromise was encouraged in principle by France and England. But, the
Yugoslavian government opposed it firmly because it felt excluded from the plan of Albanias fragmentation
between the two neighbors. For that reason, Beograd began the attacks invading other territories in the
Northern Albania. Yugoslavia insisted to annex the region of Shkodra using the historic and the economic
arguments, too, which were rejected by the representatives of the Albanian delegation in Paris. Possessing
the whole coast of the Adriatic, from Fiume to Kottor, Yugoslavians cant provide as an argument the
necessity to exert influence over the Albanian territories along the coast The interest of Albania is greater
than that of Yugoslavia to work the lands in the North, which economic and trade development has been
damaged badly due to the annexation of Albanian cities of Peja, Gjakova, Prizren and Dibra from
Montenegro and Serbia. Moreover, the Yugoslavian authorities demand to manage the River of Drin and
Buna is refused from the Albanians who will invest alone or in cooperation with the Great Powers (Albania
and the Peace Conference, 1921, p. 28).
In front of its neighbors political and economic intentions, as evidenced by the Tittoni-Venizelos secret
agreement and the military intervention of Yugoslavia, the Albanian delegation, on 14
th
August, 1919,
protested at the Great Powers, as follows: Such a behavior always seems like their will is the fragmentation
of a nation and administer punishment in absence without taking into consideration its life. This course of
action towards Albania is totally against the principle of small peoples rights issued by the proclamation of
President Wilson and all the Representatives of the Great Powers (Albania and the Peace Conference,
1921, p. 15).

292
Despite the Albanian delegation efforts to provide legal equality and the right national solution, the
Albanian problem continued to be treated as a supplement to the Adriatic question that the Great Powers
used to accomplish the compromise policy with the Balkan countries. Referring to the analysis of the Italian
Minister of Foreign Affairs (FA), T. Tittoni, on 27
th
-28
th
September, 1919, he quoted: France and England
admitted to confess like us the Italian ownership of Fiume (Rijeka) rejected by President Wilson, - but they
reached a consensus with Wilson that the port and the railway of Fiume (Rijeka) will be under the League of
Nations and Dalmatia, except Zara will be given to Yugoslavia. While Italy will have the control over Albania
that, with the Channel of Corfu neutralized, is going to provide Italy the absolute ownership of the Strait of
Otranto and, thus, of the Adriatic (The Academy of Science of Albania. The Institute of History, 1975, pp.
407-408).
The treatment of Albania as a mean to compensate the neighbors for the division of the spheres of
influence in the Eastern Adriatic constrained the representatives of the Albanian delegation, L. Bumi, L.
Gurakuqi and M. Frashri to meet in Paris the Italian Minister of FA, Tommasso Tittoni, on 26
th
October,
1919. They discussed about the Italian stance on the Albanian question and its objectives hidden behind the
Tittoni Venizelos agreement. The Italian minister declared: 1.We requested the mandate over Albania
trying to help you organize your civil and financial administration and the police and military. We have no
intention to govern Albania whose people will live in full independence. 2. Regarding the Northern Albania, I
can assure you will have the borders decided on the Conference of London till 1913. 3. Concerning the
border of Southern Albania, no decision is taken yet. 5. While the agreement between Italy and Greece
doesnt threat the interests of Albania. There are too many conditions, thus our vote for the question of
Northern Epirus is free as for Thrace. 6. Asked for the case of Valona, Mr. Tittoni answered that Italy has
no intention to occupy or govern Albania, it has so much to do back home (The Archive of the Ministry of
Foreign Affairs of Albania (AMPJ), D. 8, V. 1919, p. 73).

The Great Powers continued their diplomatic activity at the Peace Conference to find a solution to the
complicated Adriatic question. The French representative, G. Clemenceau, the British one, Eyre Crowe and
that of America, Frank Polk finished a memorandum on 9
th
December, 1919. According to it, the Great
Powers expressed their will to acknowledge the independence of the Albanian state. They thought it will have
the necessity, based on the article 22 of the Pact of the League of Nations, for the administration and the
assistance of one of the Great Powers. Italy was given the charge of this duty because of its geographical
position and economic capacity 2.The government of Yugoslavia has the right to build and exploit the
railways across the Northern Albania in the North of parallel 4115 and the privileges of the international
transport there. 3. The right to control the developments of the Buna River belongs to the Council of the
League of Nations which has the possibility to delegate it to Italy or Yugoslavia with the necessary restrictions
(The Academy of Science of Albania. The Institute of History, 1975, p. 491). The northern and eastern
borders will remain that of the Conference of London 1913. The southern ones are opened to discussion with
the Greek government, except Argirocastro which is given to Greece (Dibra, 2005, p. 69).

The memorandum of 9
th
December, 1919, gave dissatisfaction to Rome due to the solution of the
Fiume case and to Athens of its limitations on the problem of Koritza. Also, the Yugoslavian government
disagreed with the content of the memorandum which made its pretensions illegal. At first Yugoslavia denied
its southern border totally predominated from Albanians; changed with the provision of regional correction.
Secondly, they protested against the Italian control over Albania that was considered a threat to them.
Thirdly, Yugoslavians pretended the valley of Drin as the direct path along the Southern Serbia which they
had in legal possession by the sea, but their right to build a railway dismissed the reasons for other
pretensions. Fourthly, they confessed that the Buna River had flooded the territories of Montenegro in the
North of the Lake of Shkodra, not navigable apart from small boats, which was under the League of Nations
(Swire, 2005, p. 249).
Based on the reasons mentioned above, Beograd formally refused the proposals of the Great Powers
presented by the memorandum of the end of December. Thus, the Yugoslavian delegations point of view to

293
reach a general compromise on the Adriatic question was expressed in the note of 8
th
January, 1920. They
were ready to make concessions of Dalmatia and Fiume instead of territorial pretensions to the North of
Albania. N. Pasic insisted on the strategic borders and the mandate for the Northern Albania, if the Peace
Conference would not reaffirm the independence of Albania within the borders of 1913. He was the
mouthpiece for the annexation intentions of Albania among Serbs government circles (Milo, 1991, pp. 82-
83).
Due to the difficult position in the international arena, the Albanian delegation in the name of the
Temporary Government of Durres, revealed to the Head of the Peace Conference their dissatisfaction
regarding the alternatives proposed to solve the Adriatic question, which determined the Albanias fate, too.
They opposed the policy of the Great Powers to use Albania as a token of barter to end the conflict of
interests derived from the contradictory intentions of the neighbors. Though it is difficult to make
compromises with the liberty of one people, in order to keep out the danger, we are ready to make
concessions to our neighboring countries that have to do with the territorial integrity and the sovereignty of
Albania. In the note of 8
th
November, 1919, we expressed to the Conference authorities our approval to leave
the Yugoslavians the free transition of San Gin valley and the railway. This proposal does not mean that
Yugoslavia has the right to build the railway or to intervene in our political and economic developments.
According to the Greek pretensions, we will guarantee not only the protection of the orthodox Albanian
minorities of the Northern Epirus, but also their municipal autonomy. Referring to the Italian purposes to
control the Adriatic, we can reach an agreement orally or written that despite the position of Italy there, it is
constrained to respect the supreme rights of Albania on Valona and its hinterland (Albania and the Peace
Conference, 1921, pp. 59-60). These proposals of the Albanian government faced with the indifference of the
international factor.
In order to satisfy the demands of the Albanias neighbors, in particular Yugoslavia, the prime ministers
of Britain and France, respectively Lloyd George and G. Clemenceau, in the absence of the American
representative, reached a compromise with the Italian homologous, F. Nitti, on 13
th
January, 1920. The
agreement foresaw the fragmentation of Albania between the three neighbors, quite the same as the secret
Treaty of London (1915). According to it, Fiume belonged to Italy, while Yugoslavia received as
compensation the North of Albania with Shkodra centre which possessed autonomy like the region of
Rutene in Czechoslovakia. Koritza and Argirocastro were annexed by Greece, while Italy was given the
ownership of Valona and its hinterland and the mandate for the remaining territory of the Albanian state of
1913s (The Academy of Science of Albania, 2007, p. 135).
This new compromise agreement between the Great Powers was unacceptable to the Albanian
delegation which sent a letter of protest to the Head of the Peace Conference, on 15
th
January, 1920, as
follows: We feel a deep sadness about such decisions that are not in conformity with the principle of
nationality and the right of people to self-determination. These decisions help to separate and fragment the
whole people that are used as a token of barter. Albania is a neutral independent state since 1913. Thus, we
cant admit the loss of our independence and integrity without protesting. Italy has no legal rights on Valona
and its hinterland except the force against the small and weak Albania. Greece and Yugoslavia have no
rights on other Albanian territories. Giving Italy or any other power the mandate for Albania is in contradiction
with Article 22 of the Treaty of Versailles. The intervention of the interested neighbors in the internal situation
of Albania will threat its independence and provoke tensions in the Balkan (The Central State Archive of
Albania (AQSH), F.30, D.7, p. 60).
The Albanians protest was supported by the American diplomacy that operated in accordance with
principles, such as: the right to self-determination, the end of the secret diplomacy, the protection of small
people etc. The President Wilson declared that he could not accept a document that broke every principle of
justice and signed not in the presence of the American representative. During his speech, he quoted: The
President agrees that the British and the French governments have not forgotten the interests and the
welfare of the Albanian people. The American government understands that Yugoslavia admits the

294
agreement reached between Britain and France to divide Albania into three parts: but our government firmly
opposes every decision that damages the Albanians to satisfy the Yugoslavians, as much as rejects each
effort to damage Yugoslavians in favor of Italy. The President thinks that the difficulties between Muslims and
Christians will increase, if Albania comes under the control of nations that do not speak their language and
dont have the same political system or equal economic capacities (Zavalani, 1998, p. 256).
The Allies gave an answer to President Wilson on 26
th
February, 1920. Referring to the Albanian
question, they said: The prime ministers of France and Great Britain would like to emphasize their estimation
of the interest that the American government expresses in the future of the Albanian people and they assure
the President Wilson that they share the same respect for his principles. They declare their conviction that
reconsidering the Albanian question they can find a solution that meets the aspiration of Albanians for self-
government, taking into consideration the demands of the interested groups, together with the necessity to
guarantee Yugoslavians an exit to the Adriatic Sea across Shkodra. Thus, they are ready to stimulate the
interested governments to express their wills in conformity with the American viewpoint (Puto, 2001, p. 254).
The correspondence between the Great Powers continued with the note of 6
th
March, 1920 that USA
sent to the Allied Powers of the Peace Conference, explaining that the Albanian case would not be included
in the common discussions between Italy and Yugoslavia concerning the solution of the Adriatic question
(Puto, 2009, p. 208). Consequently, the Albanian problem will be treated solely by the European diplomacy. It
was the policy of President Wilson, during January March 1920, that played a decisive role in impeding the
fragmentation of the Albanian state. There were some reasons that determined the stance of Wilson. At first,
Americans couldnt admit new compromises on the Adriatic question reached without their consensus.
Secondly, the disagreements on this case showed the wide specter of the diplomatic contradictions between
America, Britain and France at the Paris Peace Conference (Milo, 1991, p. 91).
Apart from the American support, the Albanian representatives Luigj Bumi and Dr. Mihal Turtulli
intended to provide the upholding of the British diplomacy, during their journey in London from 5
th
up to 27
th

March, 1920. They wanted to convince the British government of the Albanian nations rights and their ability
to build an independent and sovereign state. They aimed at informing the Foreign Office about the neighbors
compromises against Albania. Based on the report sent to Aqif Pash Elbasani, the Head of the High Council
of Albania, on 1
st
April, 1920, the Albanian delegates presented the international opinion about Albania and
their suggestions for the diplomatic activity of the Albanian government in the future in order to become a
factor of stability and peace in the Balkans and wider. A big problem for our national case is the foreign
perceptions that Albanians are in contradiction with themselves. in London, we noticed that many
Albanians have requested Greece, Italy or Yugoslavia at the Conference; some others have asked for the
protection of the Christians in case of building a small Turkey. Our enemies go on saying heinous slanders
against us, especially against our Muslim brothers, who are called Turks that want to continue the old Turkish
traditions. you should know that not only the English and the Americans, but also the French and the
Italians dont like Turks. Thus, we are trying by all means to oppose the enemies slanders and to show the
international opinion that Albanians have nothing to do with Turkey or any other country, but they are fighting
for the liberty and the independence of their fatherland. Greeks should be certain that their efforts to annex
Argirocastro will encourage Albanians to cooperate with the opponents of Greece. Otherwise, if they dont
ask for Argirocastro, the relations between the two neighbors will be improved. If the Italians leave out the
demands for the mandate and the invasion of Valona, we will always be grateful to them, so they can benefit
much more from Albania rather than being enemies. Concerning the English and the French, we have to
make them known that our intention is being a factor of stability and living freely and friendly with our
neighbors (Shllaku, 1944, pp. 58-60).
The Albanian government continued to lobby for the right solution of the national case, now separated
from the Adriatic question. It tried to consolidate the internal situation and improve the image of Albania in
the international arena in order to provide the support of the Great Powers.


295
3. Conclusions

The Great Powers didnt analyze the Albanian problem as a specific question at the Paris Peace Conference
(1919-1920). This fact influenced in losing the opportunity to guarantee the national rights of Albanians and to
divide accurately the borders in conformity with the ethnic criterion. The Albanian cause was discussed
indirectly, as a supplement of the Adriatic question. Thus, the fate of Albania had to be determined by the
rivalry between Italy and Yugoslavia for influence in the Eastern Adriatic. As a consequence, the Albanian
territory was used to satisfy the neighbors demands, respectively Yugoslavia requested the North of Albania
with Shkodra center; Greece asked for the Northern Epirus, while Italy intended to provide the mandate for
the remaining Albanian state, the full ownership of Valona and its hinterland.
So, the threat of the independence and the territorial integrity of the Albanian state was the result of the
compromise diplomacy of the Great Powers, especially of France and Britain with the interested neighboring
countries. Only the diplomacy of the American President, W. Wilson, during January March 1920,
dismissed the fate of Albania from the Adriatic question. In accordance with principles, as the right of people
to self-determination and against the secret diplomacy, Wilson brought to the end the exploitation of Albania
as a token of barter to realize the unjust claims of the neighbors, with the approval of the European Great
Powers.

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297

Strategic Voting at the Romanian 2008 Local Elections

Albescu Andrada-Maria

Ioni Dana Irina

Mateescu Silviu-Dan

National School of Political and Administrative Studies, Bucharest, Romania

Doi: 10.5901/mjss.2012.03.01.297

Abstract The aim of this article is to measure the extent to which voters cast their ballots strategically at the Romanian 2008
local elections. Our interest was prompted by the introduction of a mixed-member electoral system for local elections. One
common characteristic of mixed-member electoral systems is that they present the voter with the opportunity for strategic
behavior. For the purpose of measuring strategic voting we use three methods: 1. we compare the number of votes received by
candidates in the single member district race with the number of votes received by their parties in the proportional representation
race; 2. we calculate the difference between the votes received by the two best ranked candidates to determine whether the race
between the two was tight, which would stimulate strategic behavior; 3. we calculate the second-first ratio (SF-ratio) proposed by
Gary Cox. Our results show that that only a small percentage of the voters behaved strategically although the newly introduced
mixed-member electoral system presents them with the opportunity to do so.

Key words: strategic voting, mixed member electoral system, SF-ratio, close race, local elections

Strategic voting has been an important concept in the study of elections and voter behavior for more than fifty
years, as a defining characteristic of plurality and mixed-member electoral systems. With the introduction of a
mixed-member electoral system at the local elections the opportunity to study this phenomenon in the
Romanian context presents itself. This article aims to measure the extent to which the Romanian electorate
voted strategically at the 2008 local elections.


For the purpose of this research we define strategic voting as casting ballots for alternatives other than ones
first preference in order to improve the expected outcome of the election (Moser and Scheiner 2008, 2).
Maurice Duverger (1954) was the first political scientist to identify the situation in which voters have
incentives to vote strategically. Duvergers Law states that the simple plurality rule in single member districts
favors the two party-system (Duverger 1954, 217), as voters who are aware of the characteristics of the
plurality rule will avoid wasting their votes on hopeless third party candidacies, while elites will avoid wasting
their time, money and effort in launching what the voters will perceive as hopeless candidats, instead looking
to form coalitions of sufficient size to win a plurality (Neto and Cox 1997, 150). Duverger claimed that
societies naturally moved towards two-party systems by two complementary processes of fusion and
elimination. The process of elimination is the result of two factors working together: a mechanical and a
psychological factor (Duverger 1954, 215, 224). The mechanical effect refers to electoral systems
underrepresentation of third parties in the share of legislative seats as compared to popular votes (it is
mechanic in the sense that no human manipulation or strategy is involved). The psychological effect refers to
the tendency of the voters, realizing that votes for minor parties are not effectively translated in to seats, to
rally to what they consider the least unacceptable of the two major parties. As a consequence the
psychological effect reduces the number of votes for small parties. However, the psychological effect is not
exclusively a function of voters reactions and strategy. Political elites and party leaders will anticipate the
mechanical and therefore the psychological effects of electoral systems as much as voters will. For exemple,

298
parties may not run candidates in those districts where they are very unlikely to win seats. In a plurality
system, where the mechanical effect is most powerful, they should also be less inclined to form new parties
or more inclined to merge old ones (Blais and Carty, 1991, 80-81). From this perspective, Blais and Carty
state that the psychological effect should therefore encompass the anticipations of all political actors, elites
as well as voters.
Strategic voting can also be seen as an expression of the purpose the voters are trying to acomplish.
According to Alvarez, Boehmke and Nagler (2006, 2) voters may be trying to express their opinions about
specific issues or they might be trying to influence the outcome of the election. Behavior generated by the
first motivation can be characterized as expressive behavior. Behavior generated by the second motivation
can be characterized as purposive behavior. This type of behavior can best be observed in multicandidate
elections. The main contribution of the authors is accounting for the context in which voters have the
opportunity to behave in a strategic fashion. In two-candidate elections, or in the situation where one of the
candidates has such a lead that he cannot be defeated, there is no possibility for voters to exhibit strategic
behavior. Michael Alvarez, Frederick Boehmke and Jonathan Nagler argue that previous measures of
strategic voting significantly underestimated the willingness of voters to engage in strategic behavior when
presented with the opportunity to do so. The incentive the voter has to behave strategically is based on two
factors: how far behind the voters first choice is in the voters constituency and how close the race is between
the remaining two parties in the voters constituency. However, these considerations are only relevant when
the voters first choice is in last place and if the voter considers that he is wasting his vote by casting a ballot
for his first preference, thus redirecting his vote to his second preference in order to influence the outcome of
the election (Alvarez, Boehmke and Nagler 2006, 7). The idea that in order to avoid wasting their vote on
hopeless candidates voters sometimes switch to less preferred but more promising candidates, usually on of
the two top contenders, is also expressed by Michael Herrmann and Franz Urban Pappi in the article
Strategic Voting in German Constituencies (Herrmann and Pappi 2008, 228).
Mixed-member electoral systems also present voters with the opportunity to behave in a strategic
fashion. Under mixed-member systems, voters cast two ballots simultaneously to elect representatives to a
single branch of the legislature. They cast one ballot for a candidate in a single member district and one for a
party in a proportional representation contest. One common characteristic of mixed-member electoral
systems is ticket splitting. Ticket splitting occurs when a voter casts his proportional representation ballot for
one party and his single member district ballot for the candidate of another party. It is generally argued that
much of split-ticket voting in mixed-member systems is founded on strategic voting (Cox 1997). Such
analyses use as evidence of strategic voting ticket splitting in which a larger number of votes are cast for a
competitive single member district candidate than the candidates party receives in proportional
representation balloting. One of the reasons why ticket splitting appears is due to the fact that voters can feel
more confident that proportional representation rules will permit their most preferred party to win
representation and so there are far fewer incentives to cast a strategic vote in a proportional system.
Therefore, most studies assume that votes cast in proportional representation balloting are the representation
of voters true preferences (Moser and Scheiner 2008, 2). We have already outlined the reasons why the
situation is different in single member district contests.
Thomas Gschwend and Henk van der Kolk (2006, 164) argue that, in order to understand why some
voters split their ticket and why the percentages differ across nations, we need to identify relevant individual
and contextual factors affecting split ticket voting. The authors distinguish between two sets of factors. The
first set is related to the supply side of politics, namely political parties and candidates, while the second set
is related to the demand side of politics, namely voters. Regarding the supply side, ticket splitting may appear
because political parties have to decide whether they will present candidates in a particular constituency. If a
party does not compete in all constituencies, its supporters will be unable to cast a straight-ticket for their
most preferred party. Sometimes political parties are not willing or unable to run on both the lists and the
single member districts. After being nominated, party candidates have the option to run either a person-

299
centered campaign where they personally try to win as many votes as possible or to run a purely party-
centered campaign. The first strategy might stimulate sincere split ticket voting, whereas the second will not
(Gschwend and van der Kolk 2006, 164-165). On the demand side, even if all political parties compete in all
constituencies and all candidates run party-centered single member district campaigns, voters may still have
good reasons to split their ticket. These motives can be subsumed under four different headings: sincere,
strategic, coalitional and other motives. The first motive has to do with a sincere expression of the voters
preferences. Gschwend and van der Kolk call this type of vote choice behavior sincere split ticket voting. If
a voter supports a political party but sincerely prefers the single member district candidate of another party,
either for personal or policy reasons, that voter might end up splitting his ticket (Gschwend and van der Kolk
2006, 165). The second reason is strategic. There may be various incentives to split a ticket strategically. The
main one has already been discussed. Additionally however, for the proportional representation ballot, if a
party is expected to win too many single-member district seats, it will not win one of the top up seats on the
lists. In such situations, an additional list vote for the most preferred party does not change the outcome.
Some voters may thus vote strategically for a somewhat lesser preferred party on the list vote and,
assuming a sincere single member district vote, consequentially split their ticket. A third motive is to express
multiple-party preferences or to signal support for the voters most preferred coalition simultaneously.
Although this seems to be strategic, it is not. The important difference is that such voters do not form
expectations as to whether they are more likely to influence the outcome of the election by deserting their
most preferred option. The forth possibility is that split ticket voting may arise from voter confusion or protest
voting by large party supporters (Gschwend and van der Kolk 2006, 166).
Thus, in this paper we try to demonstrate that the introduction of the plurality rule for the election of the
presidents of the district councils has lead to strategic voting at the Romanian 2008 local elections.

2. Research Design and Data Collection

We have chosen to study the Romanian 2008 local elections due to the fact that the voters had two ballots to
cast, one for the election of the President of the District Council under a first-past-the-post rule, and one for
the district councilors in a proportional representation system. Concerning the elections in Bucharest, we only
find this situation in the first round of the elections for the City Council, where the city councilors and the
district councilors are elected under a proportional rule while the city mayor and the district mayors are
elected under a two ballot-majority rule. Given this fact, we have included in our analysis the first round of the
elections where the voters had the opportunity to behave strategically.
In this paper we try to answer the question of whether the Romanian voters behaved strategically at the
2008 local election. In order to give an answer we developed a quantitative data analysis using three different
methods.
First, we compare the number of votes received by candidates under the first-past-the-post rule with the
number of votes received by their parties under the proportional rule. In regard of this issue, we calculate the
ratio between the number of votes received by candidates under the first-past-the-post rule with the number
of votes received by their parties under the proportional rule. If this ratio is 1, the vote is sincere given the fact
that party supporters voted for the same party both in the single member district race and in the proportional
representation race. If the ratio is above 1 than the candidates gained votes from the supporters of other
parties and if the ratio is under 1, the candidates lost votes in favor of the candidates of other parties.
Secondly, we calculate the difference between the votes of the first ranked candidate and the votes of the
second ranked candidate in order to determine if the race between them was tight. By a tight race we mean
that this difference is below 5%. Furthermore, we shall correlate the existence of a tight race with the losses
of the third ranked candidate under the first-past-the-post rule when compared with the votes obtained by
their party under the proportional rule. For Bucharest we also calculated the existence of a tight race
between the second ranked and third ranked candidates, analyzing every situation in its context.

300
The last method we used was developed by Gary Cox in Making votes count: Strategic Coordination in
the World's Electoral Systems and implies the calculation of a ratio between the votes gained by the third
ranked candidate and the ones gained by the second ranked candidate (SF-ratio). Cox starts with the
assumption that, whenever there is a duvergerian equilibrium, the ratio between the votes gained by the third
ranked candidate and the ones gained by the second ranked candidate tends to 0, expressing strategic
voting, given the fact that the difference between the second ranked and third ranked candidates is high
enough to allow the existence of incentives for strategic voting (Cox 1997, 85-86). Thus, the SF-ratio can
take any value between 0 and 1, but, if he tends to 1, we cannot talk about strategic voting. Cox also argues
that, when there is a tight race between the third ranked candidate and the second ranked candidate, voting
shall be sincere (Cox 1997, 86). In view of applying Coxs method, we defined the SF-ratio as tending to 0 in
the situations when its values are between 0 and 0,5 and as tending to 1 when its values are between 0,5
and 1.
Also, it is important to underline that in our analysis of strategic voting at the local elections in
Bucharest, we calculated both the ratio between the votes gained by the third ranked candidate and the ones
gained by the second ranked candidate (SF-ratio1) and the ratio between the votes gained by the fourth
ranked candidate and the ones gained by the third ranked candidate (SF ratio2). We made this decision due
to the fact that the elections for the city mayor, as well as those for the district mayors are held in a two round
system. If none of the candidates gain 50%+1 of the votes in the first round, then the two best ranked
candidates (the two candidates who received the most votes) compete in the second round, during which the
first-past-the-post system (the plurality rule) is used. In other words, if none of the candidates obtains a
majority during the first round there are two winners who go to the second round.
In this context, there are three cases when there might be incentives for strategic voting at the elections
for city and district mayors in Bucharest. First, whenever there is a tight race between the second ranked and
third ranked candidates, the supporters of the forth ranked candidate might vote strategically. In this situation,
the supporters of the forth ranked candidate have incentives to vote with the candidate they ranked second in
their order of preferences so as to avoid wasting their vote given the small chances that the fourth ranked
candidate would pass to the second round of the election. In this context, strategic voting might be implied by
a value of SF-ratio1 that tends to 0. Secondly, strategic voting might be expected whenever there is a tight
race between the first two ranked candidates but not between the second ranked and the third ranked
candidates. Given this situation the supporters of the third ranked candidate have incentives for voting
strategically in order to avoid wasting their vote. In this case, strategic voting might be indicated if SF ratio2
tends to 0. The last possible case is whenever there is a tight race between the first three ranked
candidates. This situation might provide incentives for strategic voting to the supporters of the fourth ranked
candidate. In these conditions, the presence of strategic voting might be indicated if SF-ratio1 tends to 0.
In our analysis, we use the election results at the local level provided by The Central Electoral Bureau
on their official website.

3. Results

Our first method, the one concerning the ratio between the votes obtained by the candidates in the first-past-
the-post race and the ones obtained by their political parties in the proportional race, was applied for the
parties with the highest level of visibility at the national level. Thus, we analyzed to what extent the PNL, PDL,
PC, PNG-CD, PRM, and PSD voters behaved strategically. We also analyzed how much the UDMR
1

behaved strategically at the local elections excluding Bucharests case where it didnt have candidates for the
1
PNL National Liberal Party, PDL Democratic Liberal Party, PC Conservatory Party, PNG-CD New Generation Christian
Democrat Party, PRM Greater Romania Party, PSD Social Democrat Party, UDMR - Democratic Union of Hungarians in Romania.

301
mayor offices. In the case of the National Liberal Party we analyzed if its voters behaved strategically in 40
departments, in the elections for mayor of the city of Bucharest and in the elections for the mayors of the
citys 6 sectors
2
. At the departments level we can observe sincere voting in 16 constituencies. In 4 of those
the PNL lost votes in the first-past-the-post race compared with the PR race, and in 20 of the constituencies it
obtained more votes in the FPTP race than in the PR race. In departments like Satu Mare the fact that the
ratio between the votes received by the candidate in the first-past-the-post race and the ones obtained by the
political parties in the proportional race is far over 1 does not mean that there is a strategic voting because
important political parties such as PDL and PSD did not have candidates in the FPTP elections and thus,
their voters had to switch their vote.
In Bucharest we can observe that PNL had a better score in the FPTP race than the PR one in Sector 1
where its candidate got the mayors office. In the cases of the general mayors office and the sector 6
Mayors Office there is a sincere behavior of the voters. In the other sectors PNL candidates lost votes when
compared with the PR races in favor of other candidates.
In the case of Democrat Liberal Party, we took into consideration 38 of the 41 departments
3
. From the
38 analyzed constituencies, we can observe sincere voting in 15 of them whereas in 6 departments, the party
candidates lost votes in the FPTP race when compared with the PR race and in 17 of them PDL obtained
more votes in the plurality race than in the proportional one. Although the number of constituencies where we
can observe sincere voting is lower than in the case of the PNL, it does not mean that PDL voters behave
strategically because the ratio between the votes obtained by their candidates in the FTPT race and the ones
obtained by the party in the PR race varies between 0.92 and 1.2, while in the case of NLP it varies between
0.89 and 1.53.
In the case of Bucharest, the PDL obtained more votes in the race for the mayors office in sectors 1, 3,
5, and 6 and lost votes only at the elections for the general mayors office and in sectors 2 and 4. Unlike the
results from the department level, in Bucharest the ratio varies between 0.71 and 1.47, a ratio that
demonstrates a higher level of strategic behavior from the citys voters.
Regarding the Conservatory Party, from the 38 analyzed constituencies, in the case of 9 of them
sincere behavior of the voters can be observed, in 12 of them the PC obtained less in the FPTP race than the
PR race, while in 16 of them they obtained more in the plurality one. The variation of our ratio is higher than
in the case of the other analyzed parties, situated between 0.71 and 1.73.
In Bucharest the Conservatory Party obtained more votes in the FPTP race than the PR one only in
sector 4, where their candidate won the mayors office in the second ballot. In the other cases the PC lost
votes compared with the proportional race.
From the 36 analyzed departments
4
, New Generation Christian Democrat Party voters behaved
sincerely in 10 of them. In 3 departments, the candidates for the departments council presidency lost votes
compared with those obtained by the party in the proportional race and in 23 departments they won votes in
the FPTP race in comparison with the proportional one. The variation of our ratio is between 0.85 and 2.04.
In Bucharest, the variation is lower, between 0.5 and 1.13, a fact that shows more strategic behavior on
behalf of the voters.
For the Greater Romania Party we analyzed 35 constituencies
5
. In 8 of them we can observe sincere
behavior on behalf of the voters, in 16 of them, the candidate for the department council presidency lost votes
compared with those obtained by the party in the race for the council and in 11 of them they obtained more
votes than the party they were representing. In Bucharest, in all 7 constituencies, PRM candidates lost votes
2
In Covasna, PNL did not have candidates in neither the FPTP race, nor the PR one.
3
In Mure and Satu Mare, PDL did not have candidates in the PR race and in Covasna it did not have candidates in either FPTP or PR
race.
4
In Covasna, Harghita, Ilfov, Satu Mare and Sibiu, the Conservatory Party did not run in either the FPTP race or the PR one.
5
In Cluj, Covasna, Dmbovia, Mure and Satu Mare, the Greater Romania Party did not run in either the FPTP race or the PR one.

302
compared with those the party obtained in the PR race. From the total of 39 analyzed departments for the
Social Democrat Party
6
, in 17 of them we can observe a sincere behavior on behalf of the voters, in 4
departments the candidates in the FPTP race lost votes compared with those obtained by the party in the PR
race and in 18 departments the candidates in the FPTP race won more votes than the party did in the PR
race. The variation of the ratio between the votes received by candidates under the first-past-the-post rule
and the ones received by their parties under the proportional rule is between 0,86 and 1,37. In Bucharest
there is sincere voting only in sector 6. We can observe strategic behavior in favor of PSD in sectors 2 and 5
and in the case of the race for the general mayors office while for the elections in sectors 1, 3 and 4 we can
observe a migration of the PSD voters to the candidates of other parties.
The analysis on the Democratic Union of Hungarians in Romania focused on only 12 departments
7

given the fact that those were the only cases where the party ran candidates in both the first-past-the-post
race and the proportional one. Thus, in 4 departments there is sincere behavior on behalf of the voters, in 3
departments the candidates lost votes compared with those received by the party and in 5 departments; they
won more than the party.
Before moving forward to the next method used in order to determine the extent of strategic voting at
the Romanian 2008 local elections, we have to mention some of the issues raised by this one.
First of all, by comparing the results we can observe that small parties have a higher variation of the
ratio between the votes received by candidates under the first-past-the-post rule with the ones gained by their
parties under the proportional rule than the big parties. We have to mention that if a ratio of 1.14 the case of
PDL in Cara-Severin represents a gain of 8000 votes in favor of the candidate in the FPTP race while a
ratio of 1.71 the case of PC represents a difference of only 700 votes in favor of the candidate in the
FPTP race.
Secondly, we have to mention the fact that in the departments where one or two of the big parties did
not have candidates in the FPTP race, but ran in the proportional one, the high ratio observed in the cases of
other parties does not imply strategic voting, but the fact that the voters had to redirect their vote to the
candidates of other parties.
Thirdly, the fact that the majority of the analyzed cases show that the ratio is above 1 is due to the fact
that at the department level there were a lot of small parties that only ran in the proportional race
8
. In
Bucharest there is sincere voting only in the case of Sector 6. In the other cases taken into consideration
there is strategic behavior in favor of the candidates that gained the mayors office. In the competition for the
general mayors office we cannot talk about strategic voting given the fact that there was a strong candidate
that gained votes from the other parties supporters.
This kind of situation appears where there are strong candidates. Thus in Satu Mare there was no
strategic voting due to the fact that there was a strong independent candidate Marian Valer but also
because political parties such as PSD and PDL did not have candidates in the FPTP race.
The second method consists of calculating the difference between the votes received by the first
ranked candidate and the votes received by the second ranked candidate in order to determine if there was a
tight race between them. In the case of Bucharest we also calculated the existence of a tight race between
the second ranked and third ranked candidates, analyzing every situation in its context. We made this
decision due to the fact that the elections for the city mayor, as well as those for the district mayors are held
in a two round system. If none of the candidates gain 50%+1 of the votes in the first round, then the two best
ranked candidates (the two candidates who received the most votes) compete in the second round, during
which the first-past-the-post system (the plurality rule) is used. In other words, if none of the candidates
obtains a majority during the first round there are two winners who go to the second round. If there is a high
6
In Covasna and Satu Mare Social Democrat Party did not run in either the FPTP race or the PR one.
7
UDMR run in both races only in Alba, Arad, Bacu, Bihor, Cluj, Covasna, Harghita, Maramure, Mure, Satu Mare, Slaj i Timi.
8
Usually, this is the case of the parties representing the national minorities.

303
probability that none of the candidates will win during the first round and if there is a tight race between the
second and third ranked candidates, then voters have three possibilities to vote strategically, depending on
the their second preferred party. If there is a tight race between the first and second ranked candidates (TR
1,2) and if there is a tight race between the second and third ranked candidates (TR 2,3) then the supporters
of the fourth ranked candidate can vote strategically with any of the three best ranked candidates. If there is a
tight race between the first and second ranked candidates (TR 1, 2) but there is no tight race between the
second and third ranked candidates (NTR 2, 3) then both the supporters of the third ranked candidate as well
as the supporters of the forth ranked candidate can vote strategically with either the first or the second
ranked candidates. If there is no tight race between the first and second ranked candidates (NTR 1, 2) but
there is a tight race between the second and third ranked candidates (TR 2, 3) then the supporters of the
fourth ranked candidate can vote strategically with any of the three best ranked candidates.
The results of the 2008 local elections reveal tight races in the single member district contest (at most 5%
between the first and second ranked candidates) as follows (we designate candidates by party):

Table 1. Tight race in the first-past-the-post race

Frequency Percent
Tight race Yes
No
Total
14
27
41
34.1
65.9
100.0

VRANCEA (PSD, PNL, PDL)
VALCEA (PSD, PDL, PNL)
VASLUI (PSD, PNL, PDL)
TULCEA (PDL, PSD, PNL)
TIMIS (PDL, PSD, PNL)
TELEORMAN (PSD, PDL, PNL)
SUCEAVA (PDL, PSD, PNL)
SIBIU (FDGR, PDL, PSD)
SALAJ (PSD, UDMR, PDL)
SATU MARE (UDMR, CI, PNL)
PRAHOVA (PSD, PDL, PNL)
OLT (PSD, PDL, PNL)
NEAMT (PDL, PSD, PNL)
MURES (UDMR, PNL, PSD)
MEHEDINTI (PDL, PSD, PNL)
MARAMURES (PDL, PNL, PSD)
ILFOV (PDL, PSD, PNL)
IASI (PSD, PDL, PNL)
IALOMITA (PSD, PDL, PNL)
HUNEDOARA (PNL, PDL, PSD)
HARGHITA (UDMR, PCM, PSD)
GORJ (PSD, PDL, PNL)
GIURGIU (PNL, PSD, PDL)
GALATI (PSD, PC, PDL)
DOLJ (PSD, PDL, PNL)
DAMBOVITA (PDL, PSD, PNL)
COVASNA (UDMR, PCM, ARJ C)
CONSTANTA (PSD, PDL, PNL)
CLUJ (PDL, PNL, PSD)
CALARASI (PNL, PDL, PSD)
CARAS SEVERIN (PDL, PSD, PNL)
BUZAU (PSD, PDL, PNL)
BRAILA (PSD, PDL, PNL)
BRASOV (PNL, PDL, PSD)
BOTOSANI (PDL, PSD, PNL)
BISTRITA NASAUD (PDL, PSD, PNL)
BIHOR (PNL, UDMR, PDL
BACAU (PSD, PNL, PDL)
ARGES (PSD, PDL, PNL)
ARAD (PDL, PNL, PSD)
ALBA (PDL, PNL, PSD)
60.00 50.00 40.00 30.00 20.00 10.00 0.00


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- In the district of Bacu the first ranked candidate was PSD with 30,77%, followed by PNL with
27,77% and PDL with 21,21%. The difference between PSD and PNL was 3%. PDL received
21,6% of the votes under the proportional representation system. Thus, PDL lost 0,39% in the
single member district contest.
- In the district of Bihor the first ranked candidate was PNL with 27,92%, followed by UDMR with
23,12% and PDL with 23%. The difference between PNL and UDMR was 4,8%. PDL received
23,34% of the votes under the proportional representation system. Thus, PDL lost 0,34% in the
- In the district of Botoani the first ranked candidate was PDL with 28,99%, followed by PSD with
26% and PNL with 25,85%. The difference between PDL and PSD was 2,99%. PNL received
27,6% of the votes under the proportional representation system. Thus, PNL lost 1,75% in the
- In the district of Braov the first ranked candidate was PNL with 35,39%, followed by PDL with
33,2% and PSD with 16,78%. The difference between PNL and PDL was 2,19%. PSD received
18.06% of the votes under the proportional representation system. Thus, PSD lost 1,28% in the
- In the district of Buzu the first ranked candidate was PSD with 33,39%, followed by PDL with
32,08% and PNL with 22.6%. The difference between PSD and PDL was 1,31%. PNL received
- In the district of Galai the first ranked candidate was PSD with 24,82%, followed by PDL with
21,17% and PNL with 19,43%. The difference between PSD and PDL was 3,65%. PNL received
- In the district of Ilfov the first ranked candidate was PDL with 31,64%, followed by PSD with 31,22%
and PNL with 27,17%. The difference between PDL and PSD was 0,42%. PNL received 28,28% of
the votes under the proportional representation system. Thus, PNL lost 1,11% in the single member
district contest.
- In the district of Maramure the first ranked candidate was PDL with 26,49%, followed by PNL with
25,26% and PSD with 22,13%. The difference between PDL and PNL was 1,23%. PSD received
22,22% of the votes under the proportional representation system. Thus, PSD lost 0,09% in the
- In the district of Mure the first ranked candidate was UDMR with 35,55%, followed by PNL with
33,74% and PSD with 18,96%. The difference between UDMR and PNL was 1,81%. PSD (in
alliance with PRM) received 14,11% of the votes under the proportional representation system.
Thus, PSD won 4,85% in the single member district contest.
- In the district of Olt the first ranked candidate was PSD with 34,41%, followed by PDL with 34,04%
and PNL with 18,98%. The difference between PSD and PDL was 0,37%. PNL received 18,22% of
the votes under the proportional representation system. Thus, PNL won 0,76% in the single
member district contest.
- In the district of Prahova the first ranked candidate was PSD with 25,44%, followed by PDL with
- In the district of Slaj the first ranked candidate was PSD with 23,97%, followed by UDMR with
22,56% and PDL with 16,94%. The difference between PSD and UDMR was 1,41%. PDL received

305
16,05% of the votes under the proportional representation system. Thus, PDL won 0,89% in the
- In the district of Sibiu the first ranked candidate was FDGR with 28,86%, followed by PDL with
25,53% and PSD with 23,18%. The difference between FDGR and PDL was 3,33%. PSD received
22,15% of the votes under the proportional representation system. Thus, PSD won 1,03% in the
- In the district of Vlcea the first ranked candidate was PSD with 28,98%, followed by PDL with
27,03% of the votes under the proportional representation system. Thus, PNL won 0,93% in the

The data shows that in 9 of the 14 districts where tight races occurred the third ranked candidates in the
elections for president of the District Council lost votes in the single member district contests compared to the
votes received by their parties in the proportional representation contests. However, the percentage of lost
votes was less than 2 leading to the conclusion that relatively few voters behaved in a strategic fashion. One
possible explanation lies in the fact that no surveys were presented to the electorate prior to the election with
the effect that voters were unable to predict whether the race between the two best ranked candidates would
be tight or not. Additionally, the lack of surveys might have lead to voters not knowing who the strongest
competitors were. If such was the case voters would have had few incentives to vote strategically, as they
would have believed that their preferred candidate might win the election. These factors may also explain
why third ranked candidates in single member district contests won more votes compared to the votes
received by their parties in the proportional representation contests in 5 of the 14 districts were tight races
occurred.
In the case of Bucharest tight races between the first and second ranked candidates occurred in the
election for city mayor and in the election for mayor of the first district. There were no tight races between the
second and third ranked candidates.
SECTORUL 6 (PDL,
PSD, PNL, PNG-CD)
SECTORUL 5 (PSD,
PDL, PNG-CD, PNL)
SECTORUL 4 (PC, PDL,
PSD, PV)
SECTORUL 3 (PDL,
PSD, PNL, PRM)
SECTORUL 2 (PSD,
PDL, PNG-CD, PNL)
SECTORUL 1 (PNL,
PDL, PSD, PRM)
MUNICIPIUL
BUCURESTI (CI, PDL,
PSD, PNL)
80.00 60.00 40.00 20.00 0.00


306
SECTORUL 6 (PDL,
PSD, PNL, PNG-CD)
SECTORUL 5 (PSD,
PDL, PNG-CD, PNL)
SECTORUL 4 (PC,
PDL, PSD, PV)
SECTORUL 3 (PDL,
PSD, PNL, PRM)
SECTORUL 2 (PSD,
PDL, PNG-CD, PNL)
SECTORUL 1 (PNL,
PDL, PSD, PRM)
MUNICIPIUL
BUCURESTI (CI, PDL,
PSD, PNL)
40.00 30.00 20.00 10.00 0.00

In the elections for city mayor the first ranked candidate was Sorin Oprescu (independent) with 30,12%
followed by PDL with 29,56%, by PSD with 12,33% and by PNL with 11,85%. The difference between Sorin
Oprescu and the PDL candidate was 0,56%. PSD received 24,28% of the votes under the proportional
representation system. Thus, PSD lost 11,95% in the single member district contest. PNL received 11,77% of
the votes under the proportional representation system. Thus, PNL lost 0,08% in the single member district
contest.
In the election for mayor of the first district of Bucharest the first ranked candidate was PNL with
36,29%, followed by PDL with 34,96%, by PSD with 16, 58 and by PRM with 3,09%. The difference between
PNL and the PDL was 1,33%. PSD received 24,24% of the votes under the proportional representation
system. Thus, PSD lost 7,66% in the single member district contest. PRM received 4,81% of the votes under
the proportional representation system. Thus, PRM lost 1,72% in the single member district contest.
Unlike the vote losses suffered by third ranked candidates in the districts outside Bucharest, PSD
suffered heavy losses in both elections. It is quite possible that PSD supporters voted strategically. However,
at the election for city mayor it is also possible that the PSD vote got split between Sorin Oprescu, a former
ranking member of PSD, and Cristian Diaconescu, the actual PSD candidate. There was much speculation
prior to the election that Oprescu was going to rejoin PSD if he won the contest, which may have mislead
PSD supporters. In the case of the election for mayor of the first district of Bucharest strategic voting is the
most likely explanation for PSD losses.
Regarding the losses suffered by forth ranked candidates in the single member district race when
compared with the votes received by their parties in the proportional representation system when there was a
tight race between the two best ranked candidates these were 0,08% (PNL) and 1,72% (PRM). This may
indicate some measure of strategic voting but as in the case of districts outside Bucharest the losses were
relatively unimportant.
Concerning our third method, in order to analyze whether there was strategic voting at the 2008 local
elections, we used Coxs method, that is, we calculated the ratio between the total votes obtained by the third

307
ranked candidate and the ones obtained by the second ranked candidate. As we mentioned above, we look
at Bucharest case separately given the fact that in this circumstances we may identify three situations where
there are incentives for strategic voting due to the two ballot majority system.
Next we underlined the constituencies where the ratio between the total votes obtained by the third
ranked candidate and the ones obtained by the second ranked candidate closes to 0, followed by the
correlation of the data with the ones showing the duvergerian equilibrium.

Table 2. Frequencies of SF-ratio tending to 0 and 1 in 41 departments.

Frequency Percent
SF-ratio tends to 0
SF-ratio tends to 1
Total
5
36
41
12.2
87.8
100
VRANCEA (PSD, PNL, PDL)
VALCEA (PSD, PDL, PNL)
VASLUI (PSD, PNL, PDL)
TULCEA (PDL, PSD, PNL)
TIMIS (PDL, PSD, PNL)
TELEORMAN (PSD, PDL, PNL)
SUCEAVA (PDL, PSD, PNL)
SIBIU (FDGR, PDL, PSD)
SALAJ (PSD, UDMR, PDL)
SATU MARE (UDMR, CI, PNL)
PRAHOVA (PSD, PDL, PNL)
OLT (PSD, PDL, PNL)
NEAMT (PDL, PSD, PNL)
MURES (UDMR, PNL, PSD)
MEHEDINTI (PDL, PSD, PNL)
MARAMURES (PDL, PNL, PSD)
ILFOV (PDL, PSD, PNL)
IASI (PSD, PDL, PNL)
IALOMITA (PSD, PDL, PNL)
HUNEDOARA (PNL, PDL, PSD)
HARGHITA (UDMR, PCM, PSD)
GORJ (PSD, PDL, PNL)
GIURGIU (PNL, PSD, PDL)
GALATI (PSD, PC, PDL)
DOLJ (PSD, PDL, PNL)
DAMBOVITA (PDL, PSD, PNL)
COVASNA (UDMR, PCM, ARJ C)
CONSTANTA (PSD, PDL, PNL)
CLUJ (PDL, PNL, PSD)
CALARASI (PNL, PDL, PSD)
CARAS SEVERIN (PDL, PSD, PNL)
BUZAU (PSD, PDL, PNL)
BRAILA (PSD, PDL, PNL)
BRASOV (PNL, PDL, PSD)
BOTOSANI (PDL, PSD, PNL)
BISTRITA NASAUD (PDL, PSD, PNL)
BIHOR (PNL, UDMR, PDL
BACAU (PSD, PNL, PDL)
ARGES (PSD, PDL, PNL)
ARAD (PDL, PNL, PSD)
ALBA (PDL, PNL, PSD)
1.00 0.80 0.60 0.40 0.20 0.00

- In Dambovita, the second ranked candidate was the one representing PSD and the third ranked
candidate was the one representing PNL, the difference between them being 25.29%.
- In Dolj the second ranked candidate was the one representing PDL and the third ranked candidate
was the one representing PNL, the difference between them being 20.22%.

308
- In Harghita, the second ranked candidate was the one representing Magyar Civic Party and the
third ranked candidate was the one representing PSD, the difference between them being 28.66%.
- In Neamt, the second ranked candidate was the one representing PSD and the third ranked
candidate was the one representing PNL, the difference between them being 20.94%
In order to test whether there are incentives for strategic voting, we cross tabulated the results
concerning the SF-ratio and the ones concerning the presence of duvergerian equilibrium (close race
between the first two ranked candidates).

Tabel 3. Close race*SF-ratio crosstabulation

SF-ratio
SF-ratio tends to 0 SF-ratio tends to 1

Total
Close race Yes
No
Total
0
5
5
14
22
36
14
27
41

We thus may observe that in the five departments where SF-ratio tends to 0 there was no close race
between the first two ranked candidates in the FPTP race and thus there were no incentives for strategic
voting in any of the 41 constituencies. We also have to mention that in the five departments where SF-ratio
tends to 0 the difference between the first two ranked candidates was somewhere close to 10-12%.
Moreover, in the 14 departments where there was a close race between the first two ranked candidates, SF
ratio tends to be close to 1, which confirms the results obtained using our second method. Thus this cross
tabulation supports the idea that in the 41 Romanian departments we can talk mostly of sincere voting.
The analysis shows that there are no incentives in the FPTP race for the appearance of strategic
voting. An explanation might be the fact that in 2008 was the first time in the local elections the first-past-the-
post system and thus the voters did not have sufficient information about the possible outcome in order to
vote strategically (Moser, Scheiner, 2008:7).
Concerning Bucharest, we chose to apply our third method separately because, as we shown above,
there are three types of situations regarding the appearance of incentives for strategic voting. We designated
as SF ratio1 the ratio between the votes received by the forth ranked candidate and the votes received by the
third ranked candidate in the first round of the election for mayor of the city of Bucharest, as well as in the
elections for sector mayors. We designated as SF ratio2 the ratio between the votes received by the third
ranked candidate and the votes received by the second ranked candidate in the first round of the election for
mayor of the city of Bucharest, as well as in the elections for sector mayors. In the following pages we
present the cases when SF ratio1 or SF ratio2 respectively tend towards 0 and then we shall separately
analyze the three cases where there were incentives for strategic voting in the first round of the election for
mayor of the city of Bucharest, as well as in the elections for sector mayors.

309
SECTORUL 6
(PDL, PSD,
PNL, PNG-CD)
SECTORUL 5
(PSD, PDL,
PNG-CD, PNL)
SECTORUL 4
(PC, PDL, PSD,
PV)
SECTORUL 3
(PDL, PSD,
PNL, PRM)
SECTORUL 2
(PSD, PDL,
PNG-CD, PNL)
SECTORUL 1
(PNL, PDL,
PSD, PRM)
MUNICIPIUL
BUCURESTI (CI,
PDL, PSD, PNL)
1.00
0.80
0.60
0.40
0.20

SECTORUL 6
(PDL, PSD, PNL
PNG-CD)
SECTORUL 5
(PSD, PDL,
PNG-CD, PNL)
SECTORUL 4
(PC, PDL, PSD,
PV)
SECTORUL 3
(PDL, PSD, PNL,
PRM)
SECTORUL 2
(PSD, PDL,
PNG-CD, PNL)
SECTORUL 1
(PNL, PDL, PSD,
PRM)
MUNICIPIUL
BUCURESTI (CI,
PDL, PSD, PNL)
0.70
0.65
0.60
0.55
0.50
0.45
0.40

In regards to SF ratio1 it tends towards 0 in the elections for mayor of the sectors one, two, three, four and
six while in regards to SF ratio2 it tends towards 0 in the election for mayor of the city of Bucharest and in the
elections for mayor of the sectors one and three.
The first case we shall analyze is the one where there was a tight race between the second and third
ranked candidates in the first round and SF ratio1 tends towards 0. This is a context in which the supporters
of the forth ranked candidate have the opportunity to vote strategically. When we correlate the existence of a

310
close race between the second and third ranked candidates with the ratio between the votes received by the
forth ranked candidate and the votes received by the third ranked candidate we discover that neither in the
election for mayor of the city of Bucharest, nor in the elections for sector mayors do we find a close race
between the second and third ranked candidates. Consequently, we may conclude that, in the first round of
the elections, the supporters of the forth ranked candidate didnt have incentives for strategic voting.
The fact that there were no close races between the second and third ranked candidates in any of the
analyzed cases means that the supporters of the forth ranked candidate also didnt have incentives for
strategic voting in the third scenario (close race between the three best ranked candidates and SF ratio1
tending towards 0).
The second scenario involves the existence of a close race between the two best ranked candidates,
the absence of a close race between the second and third ranked candidates and a SF ratio2 that tends
towards 0. In this scenario the supporters of the third ranked candidate are presented with the opportunity to
behave in a strategic fashion. When we correlate the existence of a close race between the first two best
ranked candidates with a SF ratio2 that tends towards 0 we find two cases where the supporters of the third
ranked candidate had incentives to vote strategically, in the election for mayor of the city of Bucharest and in
the election for mayor of sector 1. However, we cannot conclude that the opportunity for strategic voting
actually led to such a phenomenon.

4. Conclusions

Our three method analysis of strategic voting at the Romanian 2008 local elections leads to the conclusion
that, although there were instances when voters had the opportunity to behave in a strategic fashion, there
are various factors other than strategic voting that may explain the election results. It was therefore
necessary to analyze contextual factors.
Regarding the first method we were unable to conclusively identify strategic voter behavior due to
factors that influence the difference between the number of votes received by candidates in the single
member district race when compared with the votes received by their parties in the proportional
representation system other than strategic behavior. There were several political parties that only entered
candidates in the proportional representation contest, a decision that forced their supporters to vote for their
second preference in the single member district race. Another factor that may have influenced voter behavior
was the existence of independent candidates, as there are significant numbers of voters that cast their ballot
based on personal preferences for the candidates rather than the party the candidates belong to. Sorin
Oprescus victory at the election for mayor of Bucharest seems to point in this direction.
Regarding the second method we found that that in 9 of the 14 districts where tight races occurred the
third ranked candidates in the elections for president of the District Council lost votes in the single member
district contests compared to the votes received by their parties in the proportional representation contests.
However, the percentage of lost votes was less than 2 leading to the conclusion that relatively few voters
behaved in a strategic fashion. One possible explanation lies in the fact that no surveys were presented to
the electorate prior to the election with the effect that voters were unable to predict whether the race between
the two best ranked candidates would be tight or not. Additionally, the lack of surveys might have lead to
voters not knowing who the strongest competitors were. If such was the case voters would have had few
incentives to vote strategically, as they would have believed that their preferred candidate might win the
election. These factors may also explain why third ranked candidates in single member district contests won
more votes compared to the votes received by their parties in the proportional representation contests in 5 of
the 14 districts were tight races occurred.
Regarding the third method our analysis revealed that the frequency of the cases where the ratio
between the votes received by the third ranked candidate and the votes received by the second ranked
candidate approaches zero is quite small (12,2% out of 41 cases). Moreover, none of these cases were

311
correlated with the existence of a two party equilibrium. This finding may be explained by the fact that the
2008 local elections were the first to use a mixed-member electoral system. In the case of the elections for
mayor of the city of Bucharest and district mayors of Bucharest, although the system was used since 1992
(the proportional representation part of the system is used for the election of the district councilors and for the
election of the council of the city of Bucharest) we only found two cases where there were incentives for
voters to behave in a strategic manner. However, in the case of the election for the mayor of Bucharest the
strategic voting hypothesis is mitigated by contextual factors that may just as well explain the election results.
To conclude, the data we have analyzed reveals that only a very small percentage of the voters behave
strategically although the newly introduced mixed-member electoral system presents them with the
opportunity to do so.

References

Robert G. Moser, Scheiner E. 2008. Strategic voting in established and new democracies: Ticket-splitting in mixed-member electoral
systems, Electoral Studies, doi:10.1016/j.electstud.2008.06.011
Neto, Octavio Amorim, Gary W. Cox. 1997. Electoral Institutions, Cleavage Structures, and the Number of Parties, American Journal of
Political Science, 41: 149-174.
Blais, Andre, Carty, R.K. 1991. The Psychological Impact of Electoral Laws: Measuring Duverger's Elusive Factor, British Journal of
Political Science, 21: 79-93.
R. Michael Alvarez, Frederick J. Boehmke, Jonathan Nagler. 2006. Strategic Voting in British Elections, Electoral Studies, 25: 1-19
Michael Herrmann, Franz Urban Pappi. 2008. Strategic Voting in German Constituencies, Electoral Studies, 27: 228-244
Thomas Gschwend, Henk van der Kolk. 2004. Split Ticket Voting in Mixed Member Proportional Systems: The Hypothetical Case of The
Netherlands, Acta Politica, 41: 163-179
Cox, G.W. 1997. Making Votes Count: Strategic Coordination in the Worlds Electoral Systems, Cambridge University Press: New
York.
www.beclocale2008.ro


313

An Empirical Ascertainment of the Causes of Building Failure and Collapse in Nigeria

Ayedun, C. A.
Durodola, O. D.
Akinjare, O. A.

Department of Estate Management, School of Environmental Sciences,
College of Science and Technology, Covenant University, Ota, Ogun State, Nigeria
Email: caayedun@yahoo.com Tel.: + 234 (0) 8033900681.

Doi: 10.5901/mjss.2012.03.01.313

Abstract The incessant of building failure and collapse in the recent past has become a source of national concern and
embarrassment in Nigeria. News reports of such incidents are frequently reported in the country by both the print and electronic
media. In 2006 alone, no fewer than thirteen of such cases were recorded in Lagos State alone while statistics of the previous
and subsequent years were not better off either. This study was set out to empirically ascertain the causes of such building
failure and collapse from the perspectives of the stakeholders (comprising of the professionals in the building industry,
contractors and house owners/developers) with a view to proffering appropriate recommendations to guide against future
occurrence. Lagos State was chosen as the case study based on the frequency of occurrence building collapse in the state. To
achieve the objective of the study, questionnaires were randomly administered on the professional Estate Surveyors and
Valuers, Architects, Town Planners, Quantity Surveyors, Engineers (Structural and Civil), building contractors and
Landlords/developers in the study area to seek their opinion on their perceived causes of building collapse. The study identified
the use of sub-standard building materials, poor workmanship by contractors, use of incompetent contractors, faulty construction
methodology, heavy downpour, non compliance with specifications/standards by developers/contractors, inadequate/lack of
supervision/inspection/monitoring, structural defects, defective design/structure, illegal conversion/alterations/additions to
existing structures and dilapidating structures as the major causes of building collapse in Lagos State nay Nigeria. The study
recommends education of all the stakeholders including the professionals in the building industry and landlords/developers on
the inherent dangers of building collapse and the need to be safety conscious while building houses.

Keywords: Building Collapse, Workmanship, Supervision, Nigeria.

1. Introduction

The frequency of building collapses in Nigeria in the recent past has become major issue in the development
of the country as the frequencies of their occurrences and the magnitude of the losses being recorded in
terms of lives and properties are becoming worrisome and alarming. The spate and frequency of occurrence
has become a major source of concern not only to the governments but to all well meaning Nigerians and
most especially the stakeholders in the building industry in the country as the magnitudes of the incidents are
becoming very unprecedented.
Even though the proportion of buildings that collapse is very small compared with the vast majority that
are in use, but the human and material wastes associated with such building collapses apart from
psychological wounds often inflict on both the affected residents of such houses and their owners also
constitute huge loss to the nation at large. It is noteworthy many lives and properties have been lost through
the collapse of buildings in most big cities such as Lagos, Abuja, Port Harcourt and Ibadan just to mention a
few. Infact many property owners have developed high blood pressure while some have been sent to an
untimely death as a result of the collapse of their buildings. Even though the occurrences of building collapse
are found to be more prevalent in the urban centres of the country, however, cases of building collapses in
the country are found not to be limited to urban cities of the country as they cut across cultural , ethnic and
geographical barriers in such a manner that their occurrences apparently reflects what can be described as
federal character. Buildings are structures which serve as shelters for man, his properties and activities.

314
They are expected to be properly planned, designed and erected to obtain desired satisfaction from the
environment. Factors to be considered in the course of building construction include durability, adequate
stability to prevent its failure or discomfort to the users, resistance to weather, fire outbreak and other forms
of accidents. The styles of building construction are constantly changing with introduction of new materials
and techniques of construction. Consequently, the work involved in the design and construction stages of
buildings are largely that of selecting building team, materials, components and structures that will meet the
expected building standards and aesthetics on economy basis. Several codes of practice universally
accepted are available for the design and construction of buildings and these codes, though foreign, should
be followed as a guide to building construction by the building team. A high level of skill is needed in
designing and constructing buildings, competence and craftsmanship from the team, which include the
Architects, the Engineers or Contractor (Structural, Mechanical and Electrical), and the Local Authority.
The aim of this study was to ascertain the causes of building collapse in the country from the perspectives of
the stakeholders who are directly involved in the building industry in the country using Lagos State as the
case study and proffer solutions to identified problems.

2. The Study Area

According to US Census Bureau (2006), Lagos is the economic hub of Nigeria and the largest city in Africa
with a population of approximately 11 million (UN, World Bank and US Census Bureau estimates, 1999). It is
currently the 7th largest city in the world, and with current annual growth rates of about 6%-8% (i.e. up to
600,000 persons per annum or 1,644 people daily) it is projected to become the 3rd largest city in the world
by 2015 (US Census Bureau, 2006). It was the formal capital city of Nigeria before it was replaced by Abuja
on 12
th
December, 1991 but remains as the commercial and industrial nerve center of the country.
Lagos was originally founded as a trading port in 17th century by the Portuguese and became colonial
administrative headquarters of the newly formed Nigeria in 1914 and remained as capital even after
independence in (1960) and until 1991 when a new federal capital territory was built in Abuja. It is the
smallest of the administrative states in the country in terms of land area occupying only 3,577sq km of mostly
coastal plains. The state is surrounded by lagoons which make up about 22% of the states land mass.
Metropolitan Lagos itself accounts for only 37% of the states land area, but is occupied by more than 80% of
the states population, such that population densities in the state reaches up to 20,000 persons per sq km
(Lagos State Government, 2004). Figure 1 is the map of the state showing the component Local Government
Areas constituting the state. Lagos State has 16 Local Government Councils as shown in Figure 1 and 57
Local Government Development Areas.

Fig 1. Map of Metropolitan Lagos showing the Local Government Areas
N

Source: Lagos State Ministry of Information

315
The state has witnessed rapid growth in demand for all types of properties, especially during the era of
economic boom of the late 1970s up to 1980s according to Oni, (2010). Developers and owners attempts at
meeting the shortages in supply of properties either through construction of new structures or through
redevelopment of existing structures. In attempt to meeting skyrocketed and soaring demand for properties,
many properties especially residential properties which were originally approved for one storey buildings
were converted to two or more storey buildings (Adediji, 2006). The unprecedented rush by developers to
increase the stock of housing units partly accounted for great activities in the construction industry during
these periods whereby many of the construction activities lacking proper monitoring (Oni, 2010).


The past few decades in Nigeria witnessed collapse of many buildings in various stages of completion,
wherein several lives were lost and properties worth millions of Naira destroyed. Structural collapse occurs
all over the world, but the rate of occurrence in Nigeria is what has been giving the concern stakeholders
serious concern.
Several causes of building failure had been attributed to either natural or man-made phenomena. A
natural phenomenon may be attributable to earthquakes and typhoons while man-made phenomena consists
of disaster which may be borne out of mans negligence in areas such as soil type, building design and
planning for extra loads and stress from strong winds and earthquake for tall buildings, foundation works,
quality of building materials, lack or inadequate monitoring of craftsmen and poor quality of workmanship
according to Oloyede et al (2010).
The causes of building collapse in Nigeria has been traced by Ede (2010a) to abnormal factors not
obtainable in many other developing nations. Ede (2010b) was further of the opinion that apart from the
generally known causes of building collapse such as design flaws, ageing, material fatigue, extreme
operational and environmental conditions, accidents, terrorist attacks and natural hazards, that the Nigerian
factor become a prominent issue to contend with. The Nigerian factor in the building industry in the word of
Ede (2010b) rears its ugly head in different forms such as corruption, lawlessness and the presumption that
any engineer or professional in the built environment can assume all forms of responsibility in the building
process even in the absence of basic skill required for such job. Corruption is made manifest in greed and
tendency to cheat in virtually every aspect, starting from poor materials and quality of work to the quantities
used for construction works. Just as disobedience to civil laws is common in Nigeria, the case in the building
industry cannot be different. For this, lawlessness finds a fertile ground in the non-adherence to the building
codes and hasty construction. The use of unskilled labour, inexperienced professionals, tendency of some
professionals as pointed out by Ede (2010b) to cross-carpet to lucrative specialist duties where they lack the
necessary skill, ignorance and abundance of quacks in the building industry are all facts to contend with.
Excessive rain falls and poor drainage systems equally pose a serious problem to structures along the
Nigerian coastlines. Adebayo (2000) opined that skill, experience and personal ability of the workmen
involved in the building construction is of utmost importance in creating value. He was of the opinion that the
so-called ready-made hollow sandcrete blocks sold by some block-making industries do not measure up to
standard in an attempt to make abnormal profits. Once these lapses are tolerated intentionally or otherwise,
the quality of the sub-structure or super-structure cannot be guaranteed.
The quality of the workmen is a measure of their effectiveness and efficiency at all times during
construction while the level of building maintenance after its occupation depends on the performance of
workmen. The conclusion of Adebayo (2006) can only be relied upon where the building developer or the
contractor are capable and willing to appreciate quality and ready to pay for same. In addition, the developer
or client must be able and willing to provide the contractor handling the construction work with high quality
building materials and at the right quantity. Moreover, he must be ready to hire competent Project Manager or
Site Supervisor for the supervision of works at site.

316
4. Research Methods

The aim of the study was to examine the causes of building collapse in Lagos metropolis with a view to
proffering solution to identified causes and in attempt to achieve the objective, data were sourced from both
primary and secondary sources. Primary data were collected with the aid of structured questionnaires
administered to the professionals in the built environment (Estate Surveyors and Valuers, Architects, Town
Planners, Quantity Surveyors and Engineers (Civil and Structural Engineers)), building contractors and some
Landlords/developers. Fifteen members of each of the professional bodies were randomly selected and given
questionnaires to complete while 150 landlords/developers were also randomly selected and given
questionnaires to fill while 40 building contractors were equally randomly selected for the purpose of
administration of questionnaires. In all a total of 75 questionnaires were administered on the professionals
out of which 42 questionnaires were returned duly filled and found useful for the study. Also out 150
questionnaires given to the landlords/developers for completion, only 85 questionnaires were returned
completed and found useful for the study while out of 40 questionnaires given to the building contractors, only
14 of them were returned. The questionnaires distribution and returned rates are is as shown in Table 1
bellow. Secondary sources included historical data of buildings that had collapsed in the past in Lagos State
sourced from various publications in the newspapers, magazines as well those obtained from Lagos State
Physical Planning and Development Authority and Lagos State Materials Testing Laboratory. The data so
collated were analysed using descriptive and analytical statistical tools.

Table 1. Questionnaire Distribution to the Respondent Stakeholders and Response Rates

Stakeholders
(Professionals Contractors & Landlords/Developers)
Questionnaire
Distribution
Response
Rate
Percentage
(%)
Estate Surveyors & Valuers 15 8 53
Architects 15 10 67
Town Planners 15 7 47
Quantity Surveyors 15 9 60
Engineers
(Civil/Structure)
15 8 53
Landlords/Developers 150 85 57
Building Contractors 40 14 35
Total 245 141 57.5

Source: Authors Field Survey, 2011

5. Some Reported Cases and Possible Causes of Collapsed Building in Lagos State

In Lagos State, the incidents of building collapse in the past decades has resulted in the loss of many lives
and properties worth several millions of Naira. Table 2 illustrates some reported cases of building collapse in
Lagos State between the period of 2000 and 2010. Many families have been traumatized while many
landlords and developers have lost their hard earned savings in the process while several others have died of
high blood pressure.

Table 2. Details of Collapsed Buildings in Lagos State Between 2000 and 2010

S/N Building/Location Recorded Date
Collapse
Casualties Suspected Causes of Collapse
1 Eleganza Building, Ikota, Ajah 2000 2 deaths Structural failure

317
25 injured
2 St. Dennis Catholic Church,
Bariga
2000 3 deaths Structural failure
3 State High School, Alimosho 2000 1 death
2 injured
Crowd pressure/Overloading
4 Folami Pry School, Atunrase,
Surulere
2000 1 death
2 injured
Un-braced walls
5 14, Semi Sarumi Street, Itire,
Surulere
2000 1 death
1 injured
Deterioration of structural slab
6 10/12, Suenu Street, Lagos
Island
2000 2 deaths Deteriorated structural slab
7 12A, Okedeji Lane, Lagos 2000 N/A Flooding
8 14, Ogba Road, Agege 2000 N/A Flooding
9 1, Olorishade Street, Agege 2000 N/A Structural Defect
10 Building at Isako Village, off
Lekki-Epe Highway
2000 5 deaths

Structural failure
11 Karunwi Central Mosque, 21
Buhari Street, Mushin
2001 7 deaths,
Several injured
Structural defect
12 15, Akewusola Street,
Oworonsoki
2001 1 death Structural failure
13 20, Otigba Street, off Pabble
Street, Ikeja
2002 10 deaths
31 injured
Structural failure
14 3 Storey Building at
Mosadolohun Street, Iba
2002 15 deaths
Several injured
Structural failure
15 12, Fredrick Faseun Avenue,
Okota, Isolo
2002 15 deaths
Several injured
Structural failure
16 Agege Road 2002 N/A Structural Defects
17 3 Storey Building along Allen
Avenue, Ikeja
2002 N/A Structural failure
18 Isiaka Street, off Agege Road 2002 N/A Structural Defects
19 10, Jones Street, Ebute Metta
West
2002 N/A Structural defects
20 49, Olonode Street, Yaba 2002 N/A Structural defects
23 31, Tapa Street, Coker Road,
Orile-Iganmu
2003 9 deaths
Several injured
Structural failure during
construction work
24 31, Shakili Street, off Ajisomo
Street,
2003 4 deaths
Several injured
Structural failure
25 2 Buildings at 28 Idumagbo
Street and 10, Pedro Street on
the same day
2003 30 deaths
Several injured
Explosion
26 50, Willoughby Street, Ebute
Metta
27 28, Idumagbo Avenue 2003 30 deaths
60 injured
Explosion from storage of
pyrotechnic devices used in fire
works
28 Pedro Street, near Idumagbo
Avenue
2003 N/A Impact of the explosion at 28
Idumagbo Avenue
29 Bereka Lane 2003 N/A Structural defect
30 Adeniji Adele Road 2003 N/A Structural defect
31 Ojuelegba Road 2003 N/A Construction defects
32 22, Makurdi Street, Ebute
Metta

318
33 Ilasamaja Mushin 2004 N/A Use of poor building materials
34 10, Eliaqs Street, Lagos Island 2004 N/A Dilapidation/Lack of Maintenance
35 40, Market Street, Shomolu 2005 N/A Structural defects
36 Kodesho/Mobolaji Bank-
Anthony Way, Ikeja
37 Adeniji Adele Street, Lagos
Island
38 6, Princess Street, Lagos
Island
2005 N/A Poor construction materials
39 Mende, Maryland area, Ikeja 2005 N/A Structural defects
40 53, Cemetery Road, Amukoko,
Ijora, Ajegunle
41 NIDB Building, Broad Street,
Lagos Island
2006 N/A Fire incidence
42 71, Ibadan Street, Ebute Metta
East
2006 N/A Structural Defects
43 42, Ibadan Street, Ebute Metta
East
44 1, Murtala Muhammed Airport
Road, Oshodi
45 6A, Milverton Close, Ikoyi 2006 N/A Dilapidation
46 118, Ojuelegba Road,
Surulere
47 Opposite Rosellas, LASU/Iba
Road, Iba
48 48, Adams Street, Lagos
Island
49 38, Idumagbo Avenue, Lagos
Island
50 32B, Egerton Lane, Oke Arin 2006 N/A Structural defects
51 71, Agoro Street 2006 N/A Structural defects
52 8, Ashaka Street, Abule-Nla,
Ebute Metta
53 Ebute-Metta, Lagos 2007 Several people Unauthorised Conversion/Poor
Supervision/Use of Poor Quality
Materials
54 Building Under Construction at
Isopako, Odowo Street, Cairo,
Oshodi; Lagos
26
th
April, 2010 4 persons killed
while 12 others
were injured
Use of Substandard Building
Materials
55 Uncompleted Storey Building
at Adenike Street, Off New
Market, Oniru Estate, Victoria
Island, Lagos
2
nd
June, 2010 1 person killed,
2 others injured
Use of Substandard Building
Materials, Non-Compliance by
House-owners and Contractors
with the Approved Building Plan
and Weak Structure
56 4 Storey Building at 24, Alli
Street, off Tinubu Street,
Victoria Island, Lagos
28
th

September,
2010
3 persons killed,
Several others
injured
Structural Defects/Overloading

6. Data Analysis and Discussion

Table 3 summarises the frequency of the occurrences of building collapse in Nigeria over the period of ten
(10) years spanning 2000 and 2010 as extracted from the records of collapsed buildings in the metropolis

319
contained in the above Table 2. The analysis revealed that the incident of building collapse in Lagos reached
its peak in the year 2006 when a total number of 13 building collapse occurred which represent 24.10%. This
is closely followed by year 2000 when 10 building collapse also occurred which represented 18.52% of the
total building collapse in Lagos. However, the figures of building collapse for years 2008 and 2009 could not
be ascertained from the secondary sources employed for the study.

Table 3. Analysis of the Recorded Building Collapse in Lagos State Between 2000 and 2010

Year Frequency of Building Collapse % of Total Building Collapse
2000 10 18.52
2001 2 3.70
2002 8 15.00
2003 9 16.70
2004 3 5.55
2005 5 9.26
2006 13 24.10
2007 1 1.85
2008 - -
2009 - -
2010 3 5.55
Total 54 100

Source: Authors Analysis, 2011

The data collected through the questionnaires from the professionals in the building industry, contractors and
landlords/developers were analysed using Relative Importance Indices (RII) as shown in Tables 4, 5 and 6
ranked the reasons adduced by the stakeholders. Table 4 showed the ranking of the professionals in the
building industry regarding their perceived causes of building collapse. The use of sub-standard building
materials, poor workmanship by contractors, use of incompetent contractors, faulty construction
methodology, heavy downpour, non compliance with specifications/standards by developers/contractors,
inadequate/lack of supervision/inspection/monitoring, structural defects, defective design/structure, illegal
conversion/alterations/additions to existing structures and dilapidating structures were identified as the
combined causes responsible for building collapse in Lagos. Going by the reasons adduced by the
professionals, poor workmanship by contractors, sub-standard building materials, illegal
conversion/alterations/additions to existing structures and structural defects were ranked first, second, third
and fourth respectively.

Table 4. Reasons Adduced for Incessant Building Failure and Collapse From the Building
Professionals Perspective

Perceived Causes SA A N D SD Total RII Ranking
Sub-Standard Building Materials 16 12 3 6 5 154 3.67 2
nd

Poor Workmanship by Contractors 17 16 1 3 5 163 3.88 1
st

Use of Incompetent Contractors 13 11 6 4 8 143 3.40 6
th

Faulty Construction Methodology 8 13 5 6 10 129 3.07 9
th

Heavy Downpour 9 14 7 5 7 139 3.31 8
th

Non-Compliance with Specifications/Standards
by Developers/Contractors
12

13

4 4 9 142 3.38 7
th

Inadequate/Lack of 15 10 6 4 7 148 3.52 5
th


320
Supervision/Inspection/Monitoring
Structural Defects 13 12 8 3 6 149 3.55 4
th

Defective Design/Structure 8 10 6 5 13 121 2.88 11
th

Illegal Conversion/Alterations/Additions to
Existing Structures
16 11

4

4

7

151 3.60 3
rd

Dilapidating Structure 10 12 5 6 9 134 3.19 10
th

Where SA = Strongly Agree, A = Agree, N = Neutral, D = Disagree and SD = Strongly Disagree


Table 5 below concerns the reasons alleged by the landlords/developers as the main causes responsible for
building collapse in Lagos. Just like the professionals in the building industry, the reasons adduced for
building collapse include the of use of sub-standard building materials, poor workmanship by contractors, use
of incompetent contractors, faulty construction methodology, heavy downpour, non compliance with
specifications/standards by developers/contractors, inadequate/lack of supervision/inspection/monitoring,
structural defects, defective design/structure, illegal conversion/alterations/additions to existing structures and
dilapidating structures while faulty construction methodology, use of incompetent contractors, poor
workmanship by contractors, defective design/structure and inadequate/lack of
supervision/inspection/monitoring were ranked as first, second, third, fourth and fifth respectively. Dilapidating
structures and illegal conversions/alterations/additions to existing structures were ranked tenth and eleventh
respectively. It is pertinent to note that both building professionals and landlords/developers ranked
dilapidating structure as number ten in the hierarchy of the causes of building collapse. However, while the
professionals ranked poor workmanship as the number one reason for occurrence of building collapse, the
landlords/developers were of the opinion that faulty construction methodology was the first major reason
responsible for building collapse.

Table 5. Reasons Adduced for Incessant Building Failure and Collapse From the
Landlords/Developers Perspective

th

rd

Use of Incompetent Contractors 15 25 14 19 12 278 3.27 2
nd

st

Heavy Downpour 14 22 12 25 12 256 3.01 7
th

Non-Compliance with Specifications/Standards
by Developers/Contractors
11

17 21

22

14 244 2.87 10
th

Inadequate/Lack of
16

16

22 18 13 259 3.04 6
th

th

th

Illegal Conversion/Alterations/Additions to
Existing Structures
18 14 8 21 24 236 2.78 12
th

th




321
Table 6 underneath contains the analysis of the causes of building failure and collapse from the view point of
the contractors handling the building construction. Dilapidating structure, illegal
conversion/alterations/additions to existing structures, use of sub-standard building materials and defective
design/structure were ranked first, second, third and fourth respectively by the contractors. Inadequate/lack of
supervision/inspection/monitoring and use of faulty construction methodology ranked fifth and sixth with
structural defects and heavy downpour following. An in-depth interview conducted with some of the
stakeholders as well as the result of the analyses of the causes adduced by them actually showed the level
of bias amongst the stakeholders. Each of the stakeholders in attempt to justify themselves tried to lay the
blame at the door step of other stakeholders involvement in the building construction and/or actions or
inactions.

Table 6. Reasons Adduced for Incessant Building Failure and Collapse From the Building Contractors
Perspective

rd

th

Incompetent Contractors 0 1 1 5 7 24 1.71 10
th

th

Heavy Downpour 2 2 1 4 5 34 2.43 8
th

Non-Compliance with Specifications/Standards by
Developers/Contractors
0 1 2 4 7 25 1.78 9
th

Inadequate/Lack of
2 3 3 3 3 40 2.86 5
th

th

th

Illegal Conversion/Alterations/Additions to Existing
Structures
5 4 2 2 1 52 3.71 2
nd

st



7. Conclusion and Recommendations

From the foregoing analysis and discussion it became obvious that the causes of building failure, from the
view points of the stakeholders range from sub-standard building materials, poor workmanship by
contractors, incompetent contractors, faulty construction methodology, non-compliance with
specifications/standards by developers/contractors, structural defects, defective design/structure, defective
design/structure, defective design/structure and defective design/structure. However, the analyses of the
information gather from the stakeholders consisting of the represented by the professionals in the building
industry, the landlords/developers and the contractors revealed showed that there was divergent of opinions
as to the causes of building collapse by these various stakeholders in attempt by each of them to exonerate
themselves from the blames for building collapse.
This finding could be attributable to the level of understanding of the stakeholders regarding the
consequences of building collapse. It is rather disheartening to note that in attempt by the clients (and
lords/developers) to save cost, they tend to resort to using low quality materials, employ the services of
quacks or incompetent contractor in building construction.
In addition, they take to illegal conversion/alterations and/or additions to existing structures without the

322
consideration of stability requirement in attempt to derive maximum benefit/returns from such structures.
Moreover, from interaction with the stakeholders, it has been observed that the quacks or non-professionals
have taken up the services of architects and Engineers in building construction thereby resulting to erection
of defective buildings which are susceptible to structural failure and collapse off such buildings.
Rather than for the stakeholders accepting their culpabilities where there was cause for such and take
necessary corrective actions, they were all engaging in bulk passing which will not pay for any of the
stakeholders. In view of the above findings, the following recommendations are proffered to minimise the
incidence of building failure and collapse in Lagos State in particular and the country as a whole.
While the issue of collapse building cannot be totally eradicated but the degree can to a large extent be
reduced or minimised if the government at all levels and the stakeholders can accept to tackle the problem
proactively. First, the public must cultivate the culture of not looking the other way whenever they see any
building they suspect of capable of collapsing by reporting such cases to appropriate government authorities
before such buildings reaches the level of collapsing with their attendant risks of claiming lives and
properties.
Each professional body (including the press and not limited to the industry) in the state should have the
lists of their members and their residential and office addresses within each zonal planning office or local
government and select representative Lagos should as a matter of necessity assist the official of the Urban
and Regional Planning Authority in monitoring physical developments going on in their area of operations.
They should be empowered to approach and bring to the attention of physical planning authority any sign of
temporary fencing, excavation, conversion, alterations or addition to existing structures within their
neighbourhood and monitor the progress of such works.
The state Ministry of Environment and Physical Planning in collaboration with the stakeholders as well
as the public should review existing planning regulations and byelaws with the aim of updating them and
making such revised versions readily available. The state government in collaboration with the professional
bodies in building industry should ensure full compliance with new byelaws and building regulations and
violator sanctioned appropriately.

Referencess

Adebayo, S.O. (2000). Improving Building Techniques Proceedings of a Workshop on Building Collapse: Causes, Prevention and
Remedies> The Nigerian Institute of Builders, Lagos State
Adediji, B. (2006). Incessant Building Collapse: Estate Surveyors and Valuers Roles, Responsibility and Liability. A Paper Delivered at
the CPD Seminar Organised by Lagos State Branch of the Nigerian Institution of Estate Surveyors and Valuers on 30
th
August,
2006.
Ede, A.N. (2010a). Structural Stability in Nigeria and Worsening Environmental Disorder: The Way Forward. The West Africa Built
Environment Research Conference, Accra; Ghana, July 26-28, pp 489-498
Ede, A.N. (2010b). Building Collapse in Nigeria: The Trend of Casualties in the Last Decade (2000-2010). International Journal of Civil
and Engineering, Vol. 10. Pp 32-42
Nigerian Tribune (2008). Building Collapse: Will Building Code Be The Saving Grace? African Newspapers of Nigeria PLC (Tuesday
12
th
August, 2008)
Oloyede, S.A., Omoogun, C.B. and Akinjare, O.A. (2010) Tackling Causes of Frequent Building Collapse in Nigeria Journal of
Sustainable Development, Vol. 3, No. 3, pp. 127-132.
Oni, O.A. (2010) Analysis of Incidences of Collapsed Buildings in Lagos Metropolis, Nigeria. International Journal of Strategic Property
Management Vol. 14 pp 332-346
U.S. Census Bureau (2006) State and Country Quick Facts. Retrieved October 18, 2010
(http:l/quickfacts.census.gov/qfd/states/26/26165.html).


323

Forecasting Demand for Office Spaces in Ikeja, Nigeria

Oni Taiwo Olalekan

Department of Estate Management,
Federal University of Technology, Akure, Ondo State, Nigeria
E-mail: wandeoni@yahoo.com

Bello Musi Oyewole

Federal University of Technology, Akure, Ondo State, Nigeria.
oyewolebelo@yahoo.com

Oni Ayotunde Olawande

Covenant University, Ota, Ogun State, Nigeria.
wandeoni@gmail.com

Doi: 10.5901/mjss.2012.03.01.323

Abstract This study was undertaken to analyze the demand for office spaces in Ikeja, Nigeria with a view to determining models
useful for forecasting the demand. In attaining the stated aim and objectives of the study, one hypothesis that there is no
significant relationship between rental values and demand for office was tested. Data were collected from the primary and
secondary sources. Primary sources were data on demand, supply, and rental values of office spaces over a five-year period
obtained through questionnaires administered on one hundred estate surveyors randomly selected in the study. Statgraphic
Centrion XV statistical software was used to analyze the data and determine the relationship between the rental value and
demand for office spaces in the study area at 95% confidence level. The study found that there was statistically significant
relationship between the variables P-value = 0.0207, and R
2
statistic indicates that the model as fitted explains 87.0188% of the
variability in Average Rental Value; while the correlation coefficient of 0.932839 indicates a relatively strong relationship between
the variables. In addition, it was found that demand for banking spaces would continue to decrease whereas purpose-built and
converted office spaces would attract increasing demand from year to year.

Keywords: rental value, office spaces, demand, supply, forecasting

1. Introduction

The problems in the property market in Nigeria, especially in urban areas, are many. One of the problems is
inadequate information about the market and inability to determine what amount of properties that tenants will
apply for. Many of the properties have been abandoned and have been left uncompleted. Many that are
completed are not occupied because there is no demand for them. Many of such properties are commercial
properties including office spaces which this study will look at.
According to Pilinkien (2008), the intensive competition and rapid market changes have increased the
need for forecast information related to general market demand. Little experience in market demand forecast
under dynamic market conditions predetermines inaccurate market demand research results and
unsubstantiated enterprise operations decisions. The effective selection of market demand forecast methods
and their application can reduce risk and in real estate development. The forecast results have become of
particular importance to the Lithuanian industrial enterprises who seek to forecast market development
prospects and tendencies in order to survive on the competitive market.

324
In Nigeria, the phenomenal rate at which urbanization is occurring has overwhelmed those tasked with
managing them. Cities like Lagos, Abuja, Port Harcourt, face the dual challenge of exploding populations and
scarce resources (Oni, 2010). Regardless of the scarce resources associated with managing increasing
population, demand for commercial properties has increased with investors and developers attracted. The
developers and investors rely on forecasting of demand to determine the feasibility and viability of
development projects they carry out from time to time.
Demand forecasting is the activity of estimating the quantity of a product or service that consumers will
purchase. It involves techniques which include informal methods and qualitative methods. Informal method
includes educated guesses while quantitative methods involve the use of historical sales data or current data
from test markets. It may be used in making pricing decisions, in assessing future capacity requirements, or
in making decisions on whether to enter a new market.
There is need to know the trend in demand for properties because investments in properties of various
types are capital intensive and takes long time for it to be recouped. This is why developers, banks that grant
loan to development, and estate surveyors take demand for the types of properties now and in future very
serious before starting investment, granting loans, or carrying out feasibility and viability studies. This study
intends to examine demand and develop model for forecasting the demand for office spaces. In this regard,
the type of office spaces available and average rental values of office spaces in Ikeja were determined; the
trend in demand for and supply of office spaces in the study area in the past five years was appraised; the
relationship between demands for offices and rental values in the study area in the last five years was
established, while model for forecasting demand for offices in the study area was developed.
Ikeja city is a large component of Lagos metropolis, which itself, is the largest city in Nigeria. It is located
at 63460N, 31959E along the West African coast and was the capital city of the country before it was
replaced with Abuja on 12
th
December, 1991. However, Lagos remains the commercial nerve centre of
Nigeria and has become a typical example in the history of growth and development of urban areas in the
country. According to Official Website of Lagos State, the Western Region administered the city along with
Agege, Mushin, Ikorodu, Epe, and Badagry until Lagos State took off as an administrative entity, and in 1976
Ikeja replaced Lagos Island as the capital of Lagos State.


In attaining the stated aim and objectives of this study, literatures were reviewed along three issues: demand
forecasting, and methods of forecasting.

2.1 Demand Forecasting

Demand forecasting is the activity of estimating the quantity of a product or service that consumers will
purchase, and involves techniques including both quantitative and informal methods. Informal methods
include educated guesses, and quantitative methods make use of historical sales data or current data from
test markets. Demand forecasting may be used in making pricing decisions, in assessing future capacity
requirements, or in making decisions on whether to enter a new market (Wikipedia, the free encyclopedia).
A number of studies have been carried out on demand for office spaces. For instance, Urbanics
Consultants (2010) reported a list of offices in respect of which studies on demands were conducted in
Western Canada. Each office space analysis entailed undertaking employment growth projections, office
absorption projections, and demand-based development forecasting. One study determined the market
feasibility of a proposed development within the context of the plan specifications, current office and
residential trends, and related dynamics in the downtown Vancouver area. The second study focused on
determining the financial feasibility of the project's two components; office market study was carried out to
evaluate the suitability of the site for office development, determine the appropriate size and timing of the

325
office opportunities over a five year period, and establish recommended development programme indicating
optimal rental rates, the preferred tenant mix, and the preferred building configuration for the proposed
development. Furthermore, a study was prepared on office market study for a 52,000 square foot West Side
Vancouver Office site located at the southeast corner of downtown Vancouver. The purpose of the study was
to determine the annual demand for office space at the subject site over a ten year period and to set out a
development strategy indicating the preferred size and timing for the office component of the project; with
preliminary assessment of the office development potential and forecasting of population trends within the
Fleetwood area examined in conjunction with the existing supply of competitive office space and probable
demand levels for the next years. In Nigeria, Oni (2009) determined demand for commercial properties along
the arterial roads and developed models for predicting demand and commercial property values in Ikeja.
Similarly, Urbanics Consultants prepared a study to determine the annual demand for business office space
at a 6.25 acre at Guildford Office Park site, in Surrey, B.C. and set out development strategy indicating the
preferred size, timing and building configuration for the office park. Other studies include mixed use study of
Gateway, Grande Prairie, and Alberta Alderbridge Centres, Richmond, B.C. to review the dynamics of supply
and demand for such uses in Richmond, and subsequently determine the feasibility of such development;
and Medical Office Complex, New Westminster, B.C. to assess the development opportunities of a medical
complex on a 0.8 acre site in New Westminster, from both market and financial perspectives. The analysis
involved the examination of trends in the supply of medical office space in a large study area.

2.2 Methods of Forecasting

Forecast method is defined as a way of task solution or forecast development that guarantees the
identification of the way out for different forecast users. The main objective of the forecast method is to
transfer the current information into the future and move from the processed information to forecast. Due to
the abundance of the forecast methods (there are more than 200 methods mentioned in the economic
literature), it is rather cumbersome to review all of them. Therefore, the analysis was carried out by
classifying them into groups. Depending on the research area and research object, the most commonly used
forecast method classification in the research literature is based on some criteria which include type of
information (quantitative and qualitative forecast methods), forecast time span (short-term, mid-term and
long-term forecast development methods), forecast object (micro and macro economic indicator forecast
methods), forecast goal (genetic and normative forecast methods). The most popular and universal, and the
most commonly applied in research papers is the classification based on quantitative and qualitative forecast
methods because of its characteristic to involve the methods classified in other groups (Bails, 1993; Bolt,
1994; Peterson, 1999; and Cox, 2001). As stated in Pilinkien (2008), different forecast method classification
criteria were analyzed by Bails (1993), Bolt (1994), Peterson (1999), McGuigan (1989). Kinnear (1996),
Reekie (1998), and Kennedy (1999) support the priority of the quantitative forecast methods and use
qualitative forecast methods as an auxiliary or alternative means; whereas, Bolt (1994), Hall (1994), Clement
(1989), Kirsten (2000), Goodwin (2002), Larrick (2006), and Green (2007) state that the synthesis of
quantitative and qualitative forecast methods guarantees more reliable and informative forecast.
According to Pilinkien (2008), one is often confronted with the problem of inappropriate selection of a
forecast method. Every actual forecast situation methods have their advantages and disadvantages, hence, it
is important to define and analyze forecast method selection criteria. Firstly, most of the quantitative forecast
methods are based on the assumption that a certain reasonable linkage that existed in the past, will remain in
the future. Secondly, the forecast accuracy by using any forecast method gets reduced with the increase of
the forecast time span, indicating that long-term forecast is less reliable than the short-term one due to the
factors that cause potential uncertainty. Thirdly, the forecast for the whole market demand is usually more
accurate than the forecast for a separate product because in the former case, the demand forecast errors for
separate product groups just eliminate each other (Herbig, 1994).

326
The analysis of the most significant forecast method criteria in the research literature discloses two-sided
opinion: on the one hand, Bails (1993) states that the selection of the forecast method should be based on
the assessment of its accuracy; while on the other hand, Waddell (1994); Clifton (1998) associate the
forecast process with defined forecast objectives. According to Bails (1993), the restriction of the application
of high accuracy methods is caused by inappropriate definition of the research object, and involvement of the
economic processes that are not substantiated by approved regularities. Simple quantitative forecast
methods are applied for short- and mid- period of time (simple moving average and exponential smoothing),
while for long-term forecast regression and econometric models are applied. However, the selection concept
of the forecast method reflects only one criterion - either forecast accuracy or forecast objective. The
selection of the forecast method should be based on several criteria taking into account forecast method
applicability and additional things proposed by researchers such as forecast accuracy degree, time span,
amount of necessary initial data, forecast costs, and result implementation and applicability level. The
priorities of forecast method application are determined according to the forecast time span which is
traditionally divided into short- (1 - 3 months), mid-(3 months - 2 years) and long- (more than two years).
The moving averages which include simple moving average, and weighted moving average, is a
forecasting method based on arithmetic average of a given number of past data points; exponential
smoothing (single exponential smoothing, double exponential smoothing) is a type of weighted moving
average that allows inclusion of trends; mathematical models (trend lines, log-linear models, and Fourier
series): linear or non-linear models fitted to time-series data, usually by regression methods; and
autocorrelation methods (Box-Jenkins methods) used to identify underlying time series and to fit the "best"
model. Simple moving average techniques forecast demand by calculating an average of actual demands
from a specified number of prior periods. Each new forecast drops the demand in the oldest period and
replaces it with the demand in the most recent period; thus, the data in the calculation "moves" over time.
The formula for this technique is:
Simple Moving Average: At = Dt + Dt-1 + Dt-2 + ... + Dt-N+1
N
where,
N = total number of periods in the average,
At = Forecast for period t+1: Ft+1,
Key decision is in respect of how many periods that should be considered in the forecast, depends on the
tradeoff: With higher value of N - greater smoothing, lower responsiveness; and with lower value of N - less
smoothing, more responsiveness the more periods (N) over which the moving average is calculated, the less
susceptible the forecast is to random variations, but the less responsive it is to changes. A large value of N is
appropriate if the underlying pattern of demand is stable; a smaller value of N is appropriate if the underlying
pattern is changing or if it is important to identify short-term fluctuations.
Some of the criteria for selecting a forecasting method depend on the objectives of the study, which may
be to maximize accuracy and minimize bias, while the potential rules for selecting a time series forecasting
method are to select the method that gives the smallest bias, as measured by cumulative forecast error
(CFE); or gives the smallest mean absolute deviation (MAD); or gives the smallest tracking signal; or
supports management's beliefs about the underlying pattern of demand or others. In this regard, the
forecasting method adopted for the study is the time series with three year moving averages.

3. Material and Methods

Data were collected from the primary and secondary sources. The primary data were obtained through
questionnaires with oral interviews of estate surveyors in the study area, while the secondary data were from
earlier studies. The secondary data include literature on topics relevant to the study obtained from the
internet and research projects. This research identified one study group for investigation which is the firm of

327
estate surveyors and valuers in Ikeja. There are one hundred and ten firms operating in the study area, and a
sample of seventy-five firms was randomly selected using Bartlett, et als (2001) model, and one
questionnaire was administered at each of the sampled firms.
In analyzing the data, the simple regression models and Microsoft Excel packages and Statgraphic
statistical were used to determine the relationship between demand and rental values of offices, while the
moving average of demand for offices between 2005 and 2009 was calculated to derive the direction of
demand using the trend line options in the MS Excel Spreadsheet. In this study, supply and demand for office
spaces are based on requests that were effectively made for and in respect of which transactions were
concluded by the respondents within the study period.

4. Analysis and Discussion

The attempt in this section was to attain the stated aim and objectives of study and in doing so, the type of
offices spaces available in the study area, and the trend in the supply and demand for offices spaces are
determined.

4.1 Determination of the Types of Office Spaces Available in the Study Area

Attempt is made in this section to attain the objectives of the study which is to determine the types of office
spaces available in the study area. This was made possible from the respondents opinion guided by a list of
types of three types of office spaces, which are: banking spaces, purpose-built office spaces, and converted
office spaces. Details of the respondents opinions are given in Table 1

Table 1: Types of Office Spaces in Ikeja

S/N Type of Office Frequency Percentage
1 Banking Space
12 16.0
2 Purpose-built (open-plan)
39 52.0
3 Converted (small unit offices)
24 32.0
Total
75 100

Source: Oni, 2010

From Table 1, out of seventy-five respondents, 12 (16%) stated that that banking spaces are mostly
available; 39 (52%) stated that purpose-built open-plan offices are available; while 24 (32%) stated that
converted offices are mostly available. This implies that the type of office spaces mostly available in the study
area is the purpose-built open-plan office spaces. However, the respondents claimed that they have more of
small unit office spaces under their management portfolios as shown in Fig. 1 below


328
Fig. 1. Pie Chart Showing Percentages of Available Offices Spaces in Ikeja

Source: Oni, 2010

Fig.1 shows that the most available type of office spaces in the study area is the converted type of offices
which makes up to 48%, followed by purpose-built office spaces (44%), while Banking spaces made up 8%.
This indicates that converted office spaces are common in the study area; and may be as a result of
conversion of structures that were earlier of residential user. The study area was mainly of residential
properties before it became the capital of Lagos State and demand for office spaces has probably
encouraged owners to convert to office uses.

4.2 Trend in Demand for Office Spaces in Ikeja

Details of the types of office spaces available in the study area between 2005 and 2009 are given in Table 2

Table 2. Details of Requests for Office Spaces in Ikeja

Year

S/N Type of Space
2005 2006 2007 2008 2009
1 Banking Space 31 15 6 10 19
2 Purpose-built Offices 160 165 180 310 396
3 Converted Offices 325 376 397 430 407
Total 516 556 583 750 822

Source: Oni, 2010

329

From Table 2, analysis of the total number of transaction-based demand for office spaces in the study area
showed that there has been increase in the requests. For instance, in 2006 it increased by about 7.75%;
slightly (4.86%) in 2007 from the 2006 figures; substantially by 28.65% in 2008; and by 9.6% in 2009. The
lower rate recorded in 2009 may probably be due to the international economic crisis which has also affected
the study area.

4.3 Analysis of the Moving Average of Demand

Analysis of the moving average of data in Table 2 was carried out for each of the type of office spaces as
shown in Tables 3.

Table 3. Moving Average of Demand for Office Spaces in Ikeja

S/N Year Number of Requests Moving Average
1 2005
516
2 2006
556 536
3 2007
583 570
4 2008
750 667
5 2009
822 786
Source: Oni, 2010

Table 3 shows that two-yearly moving average indicated steady increase in demand for office spaces across
the study area. To show the trend and forecast the demand for office spaces in the study area, further
analysis showed an increasing trend as shown in Fig. 2

Fig. 2. Trend of Demand for Office Spaces in Ikeja

Source: Oni (2010
a
)


330
Fig. 2 shows that there has been increase in demand for office spaces in the study area from year to year
between 2005 and 2009. This may be as a result of influx of offices to the study area from high rental
neighborhoods to Ikeja as a result of global economic crisis that has affected many private firms who now
relocate to Ikeja to pay lower rent. Another reason may be that there has been increase in population of office
users in the study area.

4.4 Trend in Supply of Office Spaces in Ikeja

Supply of office spaces in the study area was based on the number of such properties that was met through
letting transactions effectively completed within the period as shown in Table 4.

Table 4. Details of Requests for Office Spaces Supplied

S/N Year Number of Spaces Let Moving Average
1 2005
415
2 2006
470 443
3 2007
523 497
4 2008
623 573
5 2009
707 665
Source: Oni (2010
a
)

Table 4 shows that there have been increases in number of office spaces let between 2005 and 2009.

4.5 Analysis of the Moving Average of Supply

The supply of office spaces was derived from transaction-based number of requests for different offices that
respondents effectively satisfied. Analysis of the moving average of supply was carried out for each of the
type of office spaces as shown in Table 5.

Table 5. Moving Average of Supply of Office Spaces in Ikeja

S/N Year Number of Spaces Let Moving Average
1 2005
415
2 2006
470 443
3 2007
523 497
4 2008
623 573
5 2009
707 665

Source: Oni (2010
a
)

From Table 2, the two-yearly moving average of office spaces let between 2005 and 2010 was determined,
and a linear trend analysis was carried out and shown in Fig. 2


331
Fig. 2. Trend of Supply of Office Spaces in Ikeja

Source: Oni (2010
a
)

Fig. 2 shows that trend line increased from year 2005 to 2009; and comparing the demand for and supply of
office spaces in the study area, the moving averages of demand and supply in Figs. 3 and 4 above were
combined as shown in Fig. 3 below

Fig. 3. Combined Trends of Demand and Supply of Office Spaces in Ikeja

Source: Oni (2010
a
)

4.6 Deriving Models for Forecasting Demand for and Supply of Offices in Ikeja.

From the previous sections, the basis for forecasting demand for office spaces have been laid, and it is
important to develop an equation that may be used to forecast demand for office and supply of different types
of office spaces in the study area. In doing so, the MS Excel spreadsheet was used to establish the moving
average of the demand for and supply of office spaces between 2005 and 2009 with options for linear trend
lines and R-square value selected.


332
4.6.1 Forecasting Demand and Supply of Banking Space in Ikeja

The attempt here is to determine the forecasting model of different types of office spaces using the moving
average. The number of requests for banking spaces and the number of such requests met between 2005
and 2009 were considered on two-yearly moving average as shown in Table 6

Table 6. Moving Average of Demand and Supply of Banking Spaces in Ikeja

Demand
Moving Average
Supply S/N Year
Number of
Requests
Moving Average Number of
Lettings
Moving
Average
1 2005 31 15
2 2006 15 23 10 13
3 2007 6 11 3 7
4 2008 10 8 8 6
5 2009 19 15 10 9

Source: Oni (2010
a
)

The data in Table 6 show that the two-yearly moving averages for demand and supply of banking spaces
dropped in 2007 and further in 2008 before increasing in 2009; this is further explained in Fig.4.5

Fig. 4. Combined Trends of Demand and Supply of Banking Spaces in Ikeja

Source: Oni (2010
a
)

From Fig. 4, the trend in demand and supply has shown continous decrease and that this will continue into
the future. Models for forecasting demand and supply of banking space are also derived as shown in Eqns. 1
and 2
(i) Model for Forecasting Demand for Banking Space in Ikeja:
y = - 2.7x + 21 ... Eqn. 1
(ii) Model for Forecasting Supply
y = - 1.3x + 12 Eqn. 2

333
4.6.2 Forecasting Demand and Supply of Purpose-Built Office Spaces in Ikeja

The attempt here is to determine the forecasting model of purpose-built office spaces using the moving
average. The number of requests for purpose-built office spaces and the number of such requests met
between 2005 and 2009 were considered on two-yearly moving average as shown in Table 7.

Table 7. Moving Averages of Demand and Supply for Purpose-built Offices in Ikeja

Demand

Supply
S/N
Year
Number of
Requests
Moving
Average
Number of
Lettings
Moving
Average
1 2005 160 100
2 2006 165 163 120 110
3 2007 180 173 150 135
4 2008 310 245 250 200
5 2009 396 353 300 275

Source: Oni (2010
a
)

The moving averages of demand and supply in Table 7 show that the two-yearly moving averages for
demand and supply of purpose-built office spaces increased steadily from 2007 up to 2009. This is further
illustrated by Fig.5

Fig. 5. Combined Trends of Demand and Supply of Purpose-built Office Spaces in Ikeja

Source: Oni (2010
a
)

As shown in Fig. 4.6, the trend lines for demand and supply of purpose-built office spaces in Ikeja has shown
continuous increase from year to year, and models for forecasting the trend are in Eqns. 4.3 and 4.4

(iii) Model for Forecasting Demand for Purpose-built Office Spaces in Ikeja:
y = 64.2x + 73 ... Eqn. 3

334
(iv) Model for Forecasting Supply of Purpose-built Office Spaces in Ikeja:
y = 56x + 40 Eqn. 4

4.6.3 Forecasting Demand and Supply of Converted Office Spaces in Ikeja

The attempt here is to determine the forecasting model of converted office spaces using the moving average.
The number of requests for office spaces and the number of such requests met between 2005 and 2009
were considered on two-yearly moving average as shown in Table 8.

Table 8: Moving Average of Demand and Supply of Converted Offices in Ikeja

Demand

Supply

S/N Year
Number of
Requests
Moving
Average
Number of
Lettings
Moving
Average
1 2005 325 300
2 2006 376 351 340 320
3 2007 397 387 370 355
4 2008 430 414 365 363
5 2009 407 419 397 381

Source: Oni (2010
a
)

The data in Table 8 show that the two-yearly moving averages for demand and supply of converted office
spaces increased every year from 2007 to 2009, as also illustrated by Fig. 6

Fig. 6. Combined Trends of Demand and Supply of Converted Office Spaces in Ikeja

Source: Oni (2010
a
)

From Fig. 6, there has been a slight but steady increase in both demand and supply of converted office
spaces in the study area from year to year between 2005 and 2009, and the trend may continue into the
future. Models for forecasting the trend are given in Eqns. 5 and 6

335
(i) Model for Forecasting Demand for Converted Office Spaces in Ikeja:
y = 23.1x + 335 ... Eqn. 5
(ii) Model for Forecasting Supply of Converted Office Spaces in Ikeja
y = 19.1x + 307 ...Eqn. 6

4.7 Determination of the Average Rental Values of Office Spaces in Ikeja

Attempt in this section is to attain the fourth objective which is to determine the average rental values of office
spaces in the study area. In this case, the rental values obtained from the respondents were considered, by
finding the average of the lowest and highest rents stated for each year as shown in Table 9

Table 9. Rental Values of Office Spaces in Ikeja (2005 2009)

Rental Value
(in Naira per square metre per annum)
S/N Type of Office Space
2005 2006 2007 2008 2009
1 Banking 10, 000 12, 000 15,000 18,000 25,000
2 Purpose-built 10, 000 12, 000 15,000 15,000 18,000
3 Converted 7, 500 7, 500 8,500 8,500 12,500
Average Rental Value 9, 200 10, 500 12, 800 13, 800 18, 500

Sources: Oni (2010
a
)

From Table 9, the average rent per square metre per annum increased from year 2005 but the highest rate of
increase was indicated between 2008 and 2009.

4.8 The Relationship Between Demand for Offices and Rental Values in Ikeja

The aim of this section is to determine the relationship between demands for offices and rental values in the
study area in the last five years. In doing so, one hypothesis was set in the null as follows: There is no
significant relationship between demand for office spaces and rental values in the study area In doing so, the
average demand for office spaces and average rental values for 2005 to 2009 were regressed using the
Statgraphic with confidence level set at 95%. For this purpose, the transaction-based requests earlier
analyzed were compared with average rental values of offices in the study area as shown in Table 10

Table 10. Demand and Average Rental Value of Offices in Ikeja (2005 2009)

S/N Year Demand Average Rental Value
(Naira, per annum)
1 2005 516 9200
2 2006 556 10500
3 2007 583 12800
4 2008 750 13800
5 2009 822 18500

Source: Oni (2010
a
)

336
A Simple Regression of the Average Rental Value (the dependent variable) and Demand for office spaces
(the independent variable) using a linear model Y = a + b*X resulted in coefficient, and analysis of variance
shown in Tables 11 and 12

Table 11 Coefficients of the Relationship between Rental Value and Demand for Office Spaces in Ikeja

Parameter Least Squares
Estimate
Standard
Error
T- Statistic P-Value
Intercept -3299.96 3686.92 -0.895044 0.4367
Slope 25.1936 5.61798 4.48446 0.0207

Table 12. Analysis of Variance

Source Sum of Squares Degree of
freedom
Mean Square F-Ratio P-Value
Model 4.49122E7 1 4.49122E7
Residual 6.69985E6 3 2.23328E6
Total (Corr.) 5.1612E7 4
20.11

0.0207

Correlation Coefficient = 0.932839; R-squared = 87.0188 percent; R-squared (adjusted for degree of
freedom) = 82.6918 percent; Standard Error of Est. = 1494.42; Mean absolute error = 1001.16; Durbin-
Watson statistic = 3.18297 (P=0.8794); Lag 1 residual autocorrelation = -0.698935
The P-value in the ANOVA table is 0.0207 which is less than 0.05, implying that there is a statistically
significant relationship between Average Rental Value and Demand at the 95.0% confidence level. The R-
Squared statistic indicates that the model as fitted explains 87.0188% of the variability in Average Rental
Value. The correlation coefficient of 0.932839 indicates a relatively strong relationship between the variables.
The mean absolute error (MAE) of 1001.16 is the average value of the residuals. The Durbin-Watson
(DW) statistic tests the residuals to determine if there is any significant correlation based on the order in
which they occur in your data file. Since the P-value is greater than 0.05, there is no indication of serial
autocorrelation in the residuals at the 95.0% confidence level.

5. Research Findings

The study showed that the type of office spaces mostly available in the management portfolios of firms in the
study area is the purpose-built open-plan type; while the type of office spaces msotly requested in the study
area is the converted type which makes up to 48% of the office spaces, followed by purpose-built office
spaces (44%), while Banking spaces made up 8%. This may be as a result of lower rent that converted
structures offer.
It was also discovered that the total number of transaction-based demand in terms of effective requests
for office spaces in the study area has been on the increase. For instance, in 2006 it increased by about
7.75%; slightly (4.86%) in 2007 from the 2006 figures; substantially by 28.65% in 2008; and by 9.6% in 2009.
The lower rate recorded in 2009 may probably be due to the international economic crisis which has also
affected the study area. There has been increase in demand for office spaces in the study area from year to
year between 2005 and 2009. This may be as a result of influx of offices to the study area from high rental
neighborhoods to Ikeja as a result of global economic crisis that has affected many private firms who now
relocate to Ikeja to pay lower rent. Another reason may be that there has been increase in population of office
users in the study area.

337
The trend in demand and supply has shown continous decrease and that this will continue into the future.
Models for forecasting demand and supply of banking space were derived. The Model for Forecasting
Demand for Banking Space in Ikeja is y = - 2.7x + 21. For instance, the demand for banking spaces in the
study area in 2015 (ten years from 2005) is: y = -2.7(10) + 21 = -6. This means that in future demand for
banking space will fall below 0, since banks now prefers owning their properties instead of renting.
Similarly, the model for forecasting supply of banking space, which is: y = - 1.3x + 12, indicates that by
2015, the supply would be 13 + 12 = -1. This implies that supply will automatically drop below zero as no
investor would like to put up banking structure that may not be let. However, this is not the case with the
purpose-built office spaces. The trend lines for demand and supply of purpose-built office spaces in Ikeja
showed continuous increase from year to year. For instance, applying the model for derived for forecasting
the demand for purpose-built office spaces in the study area, that is: y = 64.2x + 73, by 2015, the demand for
purpose-built office spaces would be: 64.2(10) + 73 = 642 + 73 = 715; while supply would be y = 56x + 40 =
560 + 40 = 600 office spaces.
The study revealed that there has been slight but steady increase in both demand and supply of
converted office spaces in the study area from year to year between 2005 and 2009, and the trend may
continue into the future. Models for forecasting the trend of demand for converted office spaces in the study
area, that is, by 2015, the demand for converted office spaces in the study area would be: y = 23.1x + 335 =
23.1 (10) + 335 = 566. Similarly, the supply of converted office spaces in the study area within the same
period would be: y = 19.1x + 307 = 191 + 307 = 498. This implies that supply would be lower that demand by
12%. This will have the effect of the rent for converted office spaces remaining high in the study area.
The simple regression analysis showed that P-value in the ANOVA table is 0.0207 which is less than
0.05; this implies that there is a statistically significant relationship between Average Rental Value and
Demand at the 95.0% confidence level. The R-Squared statistic indicates that the model as fitted explains
87.0188% of the variability in Average Rental Value. The correlation coefficient of 0.932839 indicates a
relatively strong relationship between the variables.

6. Conclusion

The real estate investors must beware of developing banking spaces because the overall effects of the
findings is that in the future demand for the type of space will fall below zero, and investment in such type of
property may be a failure. The study covered forecasting of demand for office spaces in the capital city of
Lagos State in Nigeria, and models and a number of findings have been discussed. It is expected that the
findings will be of benefits to the estate surveyors and valuers, the Nigerian Institution of Estate Surveyors
and Valuers, and students who may want to study further along the study.

References

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Research. Information Technology, Learning, and Performance Journal, 19, 1, Spring 2001
Bolt, G. (1994). Sales Forecasting. London: Kogan Page, 1994.
Clement, R. T. (1989). Combining Forecasts: A Review and Annotated Bibliography. International Journal of Forecasting, 1989, No. 5, p.
559583.Retrieved June 14, 2009, from http://www.google.com
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Academic Publishers, 2001.
Goodwin, P. (2002). Integrating Management Judgment and Statistical Methods to Improve Short-term Forecasts. International Journal
of Management Science, 2002, Vol. 30, p. 12735.
Green, K. C. (2007). Structured Analogies for Forecasting. International Journal of Forecasting, 2007, No. 23, p. 365 376.
Hall, S. G. (1994). Applied Economics Forecasting Techniques. Cambridge: University Press, 1994.

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Herbig, P. (1994). Differences in Forecasting Behavior between Industrial Product Firms and Consumer Product Firms. Journal of
Business and Industrial Marketing, 1994, Vol. 9, No. 1, p. 6069.
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Kirsten, R. (2000). Business Cycles: Market Structure and Market Interaction Heidelberg: Physica-Verlag.
Larrick, R. P. (2006). Intuitions about Combining Opinions: Mis-appreciation of the Averaging Principle. Management Science, 2006, No.
52, p. 111127.
McGuigan, J. R. (1989). Managerial Economics New York: West Publishing Company.
Oni, A. O. (2009). Arterial Road Network and Commercial Property Values in Ikeja, Nigeria. PhD Thesis, Department of Estate
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Oni, A. O. (2010). The Lagos State Land Use Charge and Vision 20:2020 Housing Theme. Paper presented at the 40
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Conference organized by the Nigerian Institution of Estate Surveyors and Valuers, at Eko Hotel, Lagos 26
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). Forecasting Demand for Office Spaces in Ikeja, Nigeria. B.Sc. Project, Department of Estate Management, Federal
University of Technology, Akure
Peterson, H. C. (1999). Managerial Economics. New Jersey: Prentice Hall, 1999.
Pilinkien, V. (2008). Selection of Market Demand Forecast Methods: Criteria and Application, Engineering Economics 2008. No 3 (58)
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339

Human Resource Management in the Europian Health
System-A Comparative Approach


Academy of Economic Studies, Bucharest, Romania
E-mail: kanellopoulos_dimitrios@yahoo.com

Doi: 10.5901/mjss.2012.03.01.339

Abstract. This paper was done to highlight the trends in human resource management in health care system .In this paper we
analyze human resources management in health system in several European countries , we also analyze the trends in Human
Resources management in the health system in European Union. Based on this analysis we have built an extrapolation in
European level, in perspective of standardization and improvement of social systems in different European countries. This paper
aims to support HRM strategies in health sector and to assist the decisions of preparation, training and specialization of
doctors.

Keywords: human resources management(HRM); health system, comparative approach of human resources; human resources
development;(HR development), trends in the health system.

1. Introduction

Capitalist society is based on the profit orientation and the technological progress which entails a continuous
focus on the balance that must exist in public and private sector . This balance is based on the individual, as
a social being and as a human resource in public or private organizations
Health System is designed , through the activities they undertake, to ensure the highest level of population
health. This role is achieved through preventive and corrective actions and is essential for the good of
society.
In the current economic and social context is required special attention to the area of human resources
management in all systems and organizations, but especially in the health system. Human resource
management in the health system gains a role more and more important for the following reasons:
- Human resources in the health system require a lot of time for training, development and
specialization;
- Health system interacts directly with people with health problems, problems that affect them
directly;
- The increasing number of diseases that occurs periodically due to new viruses or old
resistant viruses.


2.1 Definition of Human Resources Management in the Healthcare System

In the literature there are a number of definitions of human resource management, some of which are quite
developed and contributing to a better understanding of the content of human resource management.
We can state that currently there is no generally accepted definition of human resource management (HRM).
From the diversity of definitions of human resource management, the most important are described below.
According to Burloiu Petre(1997) : "human resource management is a complex of measures used in
recruitment, selection, integration , material and moral stimulation, until the cessation of employment.".This

340
definition corresponds to the system man-demand, in which man occupies the central place, being forced to
respond to the demands of all factors such as : technical conditions of work, work motivation, team work
relationships, work environment and personal preoccupations.
Robert L. Mathis and his collaborators (1998) define human resource management as:
- staff recruitment and employment;
- development of adequate training programs to achieve organizational objectives;
- preparation of plans of stimulation through payroll, designed to encourage effective achievements at low
cost;
- development of non-financial incentive schemes;
- rapid integration of new employees;
- career development programs.
Human resource management is defined by DA Constantinescu and his colleagues (cited by Manolescu, A.
Human Resources Management, RAI Publishing, Bucharest, 1998) as "an area that includes all management
decisions and practices that influence or directly affect people There are other definitions of the human
resource management (HRM) in the literature of our country :
- All major decisions that affect the relation between social partners - employer and employees
- To ensure increased productivity and efficiency of economic activity;
- human factor oriented activities aiming to the conception, design, optimal use , maintenance and HR
development;
-All activities related to ensuring optimum use of the human resources for the benefit of the organization, of
each individual and of the community in general;.
- Complex oriented activities and effective use of human capital in order to achieve organizational objectives
Examining the definitions of human resource management we can draw some conclusions that reflect the
state of development and consolidation of management theory and practice in this field. We can see also
that these definitions do not contain contradictory elements, but they complement each other.

The definitions cover issues such as

- Planning, recruitment and retention of staff;
- Motivating employees;
- Obtaining and maintaining an effective workforce;
- Using employees to achieve individual and organizational goals.
The content of management of human resources is given by the multiplicity and diversity of activities which
must be undertaken, linked and harmonized in the field of human resources, activities that are more or less
linked together and have a great impact on the efficiency of health care system.
The American Society for Training and Development identifies eight (8) main areas of activity of the human
resource management:
- Training and development;
- Organization and development;
- Organization / job design;
- The human resource planning;
- Selection and staffing;
- Providing rewards / benefits
- Advice on personal problems of employees;
- syndicate / labor relations.
.
De Cenzo, one of the great specialists in the field, together with his colleagues (cited by Manolescu, A.
Human Resources Management, RAI Publishing, Bucharest, 1998) suggests that, in fact, human resources

341
Management(HRM) is a process composed of four functions: acquisition, development, motivation and
retention of human resources.
Other authors - C.D. Fischer, L.F. Schoenfeldt, J.B. Shaw (cited by Manolescu, A. Human Resources
Management, RAI Publishing, Bucharest, 1998) have tried to circumscribe more precisely the content of the
human resource management:
- Strategic management of the human resources;
- Equal employment opportunities;
- International or multinational management of human resources;
- Career planning;
- Organizational behavior;
- Collective bargaining;
- program of work;
- Discipline and control;
- Evaluation of human resources functions.
- According to Wayne F. Cascio's (cited by Manolescu, A. Human Resources Management, RAI Publishing,
Bucharest, 1998), human resource management requires the development, implementation and evaluation at
least four new areas:
- humanization of work;
- Performance-related rewards;
- Flexible working;
- Career planning.
In French literature, Jean Marie Paretti, in "Ressource humaines" (1996) shows that in the concept of human
resource management, staff function involves the following ten aspects:
- The current administration;
- Human resource management;
- Training;
- Social development;
- Management of staff costs;
- Information and communication;
- Environmental and working conditions;
- Social relations;
- Hierarchical counseling and management personnel;
- External relations.
Michael Armstrong, in one of his papers , Personnel Management Practice (1996), analyze the complex
process of human resources management. The author also highlights the high degree of interdependence of
HR activities, so some changes in an HR activity lead to changes inherent in other HR activities, which will
influence the final organizational effectiveness.

2.1 HRM Approaches in the Health System

HR management in the health system takes into account human resources management in the context of the
specific domain , determined by the evolution of human , technical, economic, and biological factors.

2.2 Priorities of HRM in the Health Care System

The main priority of HRM in the health system is to ensure the adequate human resources according to
the demand of the society. It has in view a long-term approach because human resources in health system
are characterized by a long preparation and training.

342
However, changes in the health system environment obliges HRM to make short-term forecasts in
order to predict the environmental variables that will influence health care in the future.

3. Research Methodology

3.1 The Information Basis

The study is based on statistical information collected from public documents developed by the European
and national institutions. Statistical Table is one of the most appropriate ways of presenting statistical data
in tabular form and is used in all stages of research.
Table 1 presents the evolution of Europe's population. This information is necessary in the proposed
study due to the influence of population size on the health system and by default on the need for human
resources in health sector. The growth in population signal a need for more doctors ,nurses and other
medical stuff.

Table 1. The evolution of the population in European countries (Eurostat,2011)

Country 2005 2006 2007 2008 2009 2010
EU (27 countries) 491134938 493210397 495291925 497686132 499705399p 501125880p
Belgium 10445852 10511382 10584534 10666866 10753080 10839905
Bulgaria 7761049 7718750 7679290 7640238 7606551 7563710
Czech Republic 10220577 10251079 10287189 10381130 10467542 10506813
Denmark 5411405 5427459 5447084 5475791 5511451 5534738
Germany 82500849 82437995 82314906 82217837 82002356 81802257
Estonia 1347510 1344684 1342409 1340935 1340415 1340127
Ireland 4111672 4208156 4312526 4401335 4450030 4467854
Greece 11082751 11125179 11171740 11213785 11260402 11305118
Spain 43038035 43758250 44474631 45283259 45828172 45989016
France 62772870 63229635 63645065 64007193 64369050p 64716213p
Italy 58462375 58751711 59131287 59619290 60045068 60340328
Cyprus 749175 766414 778684 789269 796875 803147
Latvia 2306434 2294590 2281305 2270894 2261294 2248374
Lithuania 3425324 3403284 3384879 3366357 3349872 3329039
Luxembourg 461230 469086 476187 483799 493500 502066
Hungary 10097549 10076581 10066158 10045401 10030975 10014324
Malta 402668 405006 407810 410290 413609 414372
Netherlands 16305526 16334210 16357992 16405399 16485787 16574989
Austria 8201359 8254298 8282984 8318592 8355260 8375290
Poland 38173835 38157055 38125479 38115641 38135876 38167329
Portugal 10529255 10569592 10599095 10617575 10627250 10637713
Romania 21658528 21610213 21565119 21528627 21498616 21462186
Slovenia 1997590 2003358 2010377 2010269b 2032362 2046976
Slovakia 5384822 5389180 5393637 5400998 5412254 5424925
Finland 5236611 5255580 5276955 5300484 5326314 5351427
Sweden 9011392 9047752 9113257 9182927 9256347 9340682
United Kingdom 60038695p 60409918 60781346 61191951 61595091 62026962
Iceland 293577 299891 307672 315459 319368 317630
Liechtenstein 34600 34905 35168 35356 35589 35894
Norway 4606363 4640219 4681134 4737171 4799252 4858199
Switzerland 7415102 7459128 7508739 7593494 7701856 7785806

343
Turkey 71610009 72519974 69689256b 70586256 71517100 72561312
Apart from the growth of population, other factors with important influence on health care are as follows :
1.the geographical structure, and 2. the economic and social development, but the main factor is the growth
of population. Figure 2 shows the evolution of Europe's population in the last three years and as can be seen,
it was a slight increase in the population throughout Europe.

Figure 1. Evolution of the population in European countries

Figure 2 shows an evolution of the number of doctors(per 100.000 inhabitants), of hospital beds and cases
treated over a period of 10 years of analysis for European countries.

Figure 2. The evolution of the number of doctors(per 100.000 inhabitants), of hospital beds and cases
treated (Eurostat,2011).


344

3.2 Instruments

The main statistical instruments are as follows: 1. time series analysis, and 2.extrapolation They are used
in many cases such as: 1.the estimation of the population in future periods, 2. The estimation of the number
of doctors and the 3.estimation of the cases of disease.
A time series is a sequence of data points, measured typically at successive times spaced at uniform
time intervals. Models for time series data can have many forms and represent different stochastic
processes. When modeling variations in the level of a process, three broad classes of practical importance
are the autoregressive (AR) models, the integrated (I) models, and the moving average (MA) models
(Brezinski and M. Redivo Zaglia, North-Holland, 1991.)

345
The method is based on analysis of past trends and the extrapolation in the period studied, based on
the following assumptions:
- Trends manifested in the past will maintain in the future;
- A variable fluctuations are reproduced at regular intervals.
Depending on the number of terms, chronological series are small, medium or large. Statistical analysis of
time series requires to choose a basis for comparison (y0) or reference level. In the case of economic
variables it is necessary to use:
a fixed base - a reference level unchanged for the entire period analyzed;
a basis in chain - a mobile reference level, . As a rule, is used the period immediately preceding (yt
compared to yt-1).
Series underlying social and economic phenomena on different time periods, but are used in
forecasting and extrapolation calculations.

Extrapolation is a Statistical technique of inferring unknown from the known. It attempts to predict future
data by relying on historical data, such as estimating the size of a population a few years from now on the
basis of current population size and its rate of growth. Extrapolation may be valid where the present
circumstances do not indicate any interruption in the long-established past trends. However, a straight line
extrapolation is fraught with risk because some unforeseeable factors almost always intervene.

4. Findings and Discussion

4.1 Results Obtained

Based on these methods the following results were obtained. Table 2 presents the main trends in the
evolution of population, which as it can be observed, would be higher in the future.
.
Table 2. Trends in the evolution of Europe's population

Country

2011-2012
EU (27 countries) 502519978
Belgium 10951665
Bulgaria 7504868
Czech Republic 10532770
Denmark 5560628
Germany 81751602
Estonia 1340194
Ireland 4480858
Greece 11325897
Spain 46152926
France 65075373
Italy 60626442
Cyprus 804435
Latvia 2229641
Lithuania 3244601
Luxembourg 511840
Hungary 9985722
Malta 417617
Netherlands 16655799

346
Austria 8404252
Poland 38200037
Portugal 10636979
Romania 21413815
Slovenia 2050189
Slovakia 5435273
Finland 5375276
Sweden 9415570
United Kingdom 62435709
Iceland 318452
Liechtenstein 36149
Norway 4920305
Switzerland 7866500
Turkey 618197

Figure 4. shows the evolution of Europe's population in coming years(based on the extrapolation) and as it
can be observed, it is estimated a slight increase of population throughout Europe.

Figure 4. Trends in the evolution of Europe's population

In the following tables(3,4) is presented an extrapolation of the number of doctors, hospital beds for the next
period for the countries of Europe.

Table 3. Trends in the evolution of the number of doctors in European countries

Country 1998 2008 2018
Belgium 373 293 287

347
Bulgaria 346 361 362
Czech Republic 303 352 353
Denmark 286 341 356
Germany 317 356 375
Estonia 322 335 338
Ireland 217 309 342
Greece 412 599 729
Spain 287 354 412
France 327 332 335
Italy 416 414 413
Cyprus 252 285 311
Latvia 275 298 298
Lithuania 373 370 369
Luxembourg 242 282 303
Hungary 308 309 310
Malta 0 303 392
Netherlands 292 369 380
Austria 377 468 480
Poland 233 216 208
Portugal 306 377 440
Romania 188 221 225
Slovenia 219 238 257
Slovakia 0 300 495
Finland 231 271 309
Sweden 297 356 379
United Kingdom 190 270 291
Iceland 329 372 372
Norway 272 398 506
Switzerland 0 385 627
Croatia 219 266 274
Turkey 102 158 211

Table 4. Trends in the evolution of the number of hospital beds in European countries

Country 1998 2008 2018
Belgium 787 660 555
Bulgaria 843 690 652
Czech Republic 793 719 687
Denmark 454 357 341
Germany 929 820 747
Estonia 761 571 513
Ireland 642 519 495
Greece 485 478 475
Spain 378 324 289
France 832 684 653
Italy 555 371 299
Cyprus 455 377 321
Latvia 965 638 338
Lithuania 910 685 481
Luxembourg 0 562 622
Hungary 809 705 656

348
Malta 559 481 437
Netherlands 512 426 420
Austria 819 769 730
Poland 0 662 831
Portugal 387 336 301
Romania 731 657 583
Slovenia 559 476 408
Slovakia 803 655 549
Finland 778 653 552
Sweden 0 0 0
United Kingdom 0 336 423
Iceland 0 585 587
Norway 392 354 334
Switzerland 664 524 401
Croatia 601 547 545
Turkey 0 243 308

4.2 Interpretations

As can be seen in the previous tables, there is a tendency of population to increase in each country of
Europe. For this reason human resource management should attract a high number of doctors in the
system .The trend of reducing the average number of beds obliges human resource management to provide
and cover posts in the system with doctors and nurses, that aim to reduce the hospitalization time.
In this case medical training should be extremely accurate and the organization system should be very
rigorous, aiming to reduce intervention(action) times on patients (analysis, diagnosis, treatment).
In addition to these goals comes the objective of optimizing the organizational system in order to
increase the efficiency of healthcare system.

4.3 Discussion

It is possible even a higher division of work in health care system. Here we can compare with the IT system,
where a programmer 20 years ago could know almost all programming languages, now has to be limited to
one, maximum two languages of programming. Similarly, human resource in the health system will have to
face challenges resulting from the emergence of new diseases due to new viruses or old resistant viruses.

5 Concluding Remarks

. In conclusion we can say that the demand for human resource in the health system is becoming higher
and at the same time increased efforts are required for the preparation of human resources.
There are also threats due to the fact that other components of the state organization requires a large
amount of resources (i.e economic, human) and often states have taken decisions to channel Recourses in
other directions .So the health system is also in competition with other systems in order to ensure the
necessary human and material resources that set the basis of a robust health care system.

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Womens Death as the Triumph in the Patriarchal World of Victorian Imagination

Roya Nikandam

University of Malaya
E-mail: Roya_200358@yahoo.com

Doi: 10.5901/mjss.2012.03.01.351

Abstract The novel chosen for this study are Hardys Tess of the dUrbervilles (1891) and the Mayor of Casterbridge (1889). I
choose Lacans psychoanalytic theory as a way to understand the psyche or the unconscious of the Victorian construction of
gender. I will explore the process of the construction of the symbolic order. The close relation between Lacanian and feminist
theories has led me to adopt the latter as well, as espoused by Julia Kristeva in order to investigate the interconnection of these
theories through the manifestation of the womans role as goods. This manifestation refers to the ways in which the female
characters are victimized in the patriarchal order, which transforms them into commodities in what Lacan terms the symbolic
male-dominated setting. Therefore, it is crucial to study Kristevas discourse on the connection of women to abjection/death.
Kristevas concept is considered under the postulation of Lacans psychoanalytic theories, to clarify the attempt of the patriarchal
order to repress the identities of women by depicting them as incomplete, and how they can contest this symbolic patriarchal
view of the Victorian era. It will examine the paths that women have taken to overcome their oppressive exclusion that law and
how women can manifest their capability to threaten this order.

Keywords: Abjection, ThomasHardy, Symbolic Law, Women, Victorian Era;

1. Introduction

Feminism as a socio-political theory is concerned with womens oppression and their subordination to men. It
aims at liberating with womens oppression and their subordination to men. It aims at liberating women of all
the oppression and exploitation they suffer in a patriarchal world. Suffering oppression and prejudices in the
world of patriarchy is not exclusive to women of a particular area and time rather it is a shared psychology (
Delmar, 1986:10), which has brought women together to form a community and defy the domineering forces
of the society. As Delmar (1986) states: One of the most distinctive practices of modern feminism has been
the consciousness-raising (12) and women have strived to make other women aware of their oppression
through campaigns and writings. They have also displayed an active desire to change womens position in
society (1986:27). According to Delmar(1986), feminism is created for women and women are its subjects,
its enunciators, the creator of its theory, of its practice and its language (). Thus, in feminist criticism of the
1970s, considerable attention was paid by feminist theorists to psychoanalytic models of sexuality and
subjectivity. Psychoanalytic feminism, with the help of psychological theories, challenges the concept of
women as being considered secondary to men. The dispute over the relationship between psychoanalysis
and feminism seems to have been started by Kate Millet in her Sexual Politics in which she recognized the
contradictions in Sigmund Freuds texts, and focused on Freuds theory of femininity, in which anatomical
differences directly affect the structure of the feminine character (Weedon 1997: 43). To defend Freud
against Millets accusations, Juliet Mitchell published her book entitled Psychoanalysis and Feminism in
which she argued that Freudian and Lacanian psychoanalysis provide a useful conceptual framework for
understanding the construction of human sexuality. She believes that the apparent phallocentrism1of
psychoanalysis is descriptive of the state of society rather than a precondition of human sociality (Humm
1986: 65). Provoked by Millets view of Freud and Jacques Lacans theories as the origin of womens
oppression, some other feminists like Julia Kristeva, Luce Irigaray, and Hlne Cixous challenged Lacans
ideas on the Imaginary world and the Symbolic world that have been widely used to understand the
development of the personality of women in social constructions. Therefore, this paper will trace Lacanian

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psychoanalytic principles narrowed down to the symbolic order and its processes. It examines the
unconscious of Victorian cultural traditions in the construction of females identity as commodity in Thomas
Hardys Tess of the dUrbervilles (1891) and The Mayor of Casterbridge (1886), in light of Julia Kristeva
concept, abjection/death, , thereby exploring the female capability to threaten the unconscious of her identity
in the Victorian symbolic era. In order to explore the nature of Hardys insight into the unconscious, socially
contradictive presentation of his female characters as a male writer, I begin the initial part of the first chapter
by examining the various responses of nineteenth and twentieth century critics to Hardys portrayal of the
heroines in his novels.

1.1 Thomas Hardy and Women

The unconventional women in Hardys novels are often more complicated and engaging than their male
counterparts. A nameless 1879 review of his novels remarked that Hardys story is always the story of one
woman in her relations to two or three men; and it is part of this scheme that, though the men do not lack
individuality, they are chiefly introduced with reference to the women, and only fully developed at the points of
contact with them (qtd. in Assmann 1994: 10). Even Hardys remarkable ability to depict vivid female
characters may have been the factor which led early reviewers to suspect that his works were in fact written
by a woman. In a review essay written in 1883, Havelock Ellis once again referred to the question of Hardys
gender:

Even when this was seen [that Hardy was not George Eliot], many people were still uncertain about the sex of the
new writer, and reviewers of Thomas Hardys works were occasionally doubtful whether to speak of him or
her.The cause of this uncertainty is not hard to find. The minute observation, the delicate insight, the conception of
love as the one business of life, and a singularly charming reticence in its delineation, are qualities which, if not
universally characteristic of womens work in fiction, are such as might with propriety be attributed to itat all events
from an a priori standpoint. (qtd. in Assmann 1994: 12)

Some wonder whether Hardy was a critic of current social situations or simply another author reifying the
current patriarchal ideology. Margaret Higonnet (1993) points out that Hardy's texts [...] have been censored
for their sexual content, admired for their frankness, decried as misogynist, and described as feminist (5).
With every new novel, Hardy seemed to have been capable of persuading both his editor and himself that
the story envisaged would not actually transgress [...] the unwritten conventions governing publications of
the time. However, as each new story took shape it proved to dwell not incidentally but centrally upon
questions of sexuality and technical immorality almost certain to provoke criticism and complaint (1993:291).
Did Hardy wish to defy Victorian norms, or was he simply so confident in the worth of his writing that he did
not consider the possible negative reaction to his work? Michael Millgate (1971) believes that Hardy's
peculiar difficulties with his editors were largely the product of his own indecision, of a characteristic
reluctance to take firm positions (292). Some critics believe that Hardys characters are in keeping with the
prevalent image of woman in the Victorian era; he often portrays women in their most noble role of spiritual
guide and loving nurturer. For example, according to Rosemary Sumner, in Hardys The Woodlanders
(1887), Marty South has perpetual faithfulness to Giles; and in Hardys first published novel, Desperate
Remedies (1871), the heroine Cytherea Graye, chooses to be self-sacrificing rather than seek her own
happiness, marrying a man she does not love in order to gain financial resources for saving her brothers life
(qtd. in Jumonville 1991: 43). M. Houghton (1925) also emphasizes how Tess of the dUrbervilles shows the
heroines capacity for suffering (435), while he regards Eustacias pride in The Return of the Native (1878) as
the source of her inability to compromise with life; on the whole he finds Hardys women so small and
helpless that Hardy is pleading for the weaker sex in depicting them (1925:439-40). Similarly, while Virginia
Woolf (1967) believes that women comprise the greater part of Hardys interest, they stand as the lesser of
the two sexes. She claims that men carry the force of rebellion in his novels; women serve to demonstrate a

353
capacity for suffering (263). Some of the negative public responses of the nineteenth century seem to have
come from women readers. Edmund Gosse suggested that women did not like Hardys novels and attributed
this phenomenon to the authors concept of the feminine character (qtd. in Assmann 1994:13). He later
pointed out that the modern English novelist has created, and has faithfully repeated, a demure, ingenuous,
and practically inhuman type of heroine, which has flattered womankind, and which female readers now
imperatively demand as an encouragement ( 1994:14). Some other feminist critics tend to view Hardy as
either a sinner or a saint, a proud defender of female honour or a villain willing to pitiably abase women to
serve his own creative needs. As Judith Mitchell wonders: How does a female readerparticularly a
modern feminist readerread Thomas Hardy? Does she applaud his feminism? Deplore his sexism? She
further observes that feminist critics seem undecided whether to accept Hardy with distaste or to reject him
with reluctance (qtd. in Kyte 1999: 7). Much of the criticism Hardy received was centered on the way in
which he characterized his heroines, resulting in the characters, and Hardy himself, being viewed as highly
immoral. In 1881, Charles Keegan Paul, a contemporary of Hardys, had this to say about Hardy's female
characters:

They are all charming; they are all flirts from their cradle; they are all in love with more than one man at once; they
seldom, if they marry at all, marry the right man; and while well-conducted for the most part, are somewhat lacking
in moral sense, and have only rudimentary souls. (qtd. in Kyte 1999: 11)

Based on the responses of many critics, it is evident that there are many complexities and paradoxes in
Hardys female characters which are not yet completely defined. However, I believe that Hardy, overwhelmed
with his unconscious bias as a male writer, shapes his female characters accordingly. This will be clarified
with the aid of Lacanian psychoanalytic theories. Hardy not only portrays his female characters as
commodities, but also stands as a symbol of a deeply patriarchal Victorian society, since it is through his
portrayal that these values are reinforced.

1.2 Lacanian Subject

Psychoanalytic criticism is a method, which attempts to elucidate literary works utilizing techniques of
psychoanalysis (Barry 96). Psychoanalysis itself is the science of curing mental disorders by probing the
relations between the conscious and the unconscious (Barry, 98). Jacques Lacan is a French psychoanalyst
(1901-1988) whose works have had exceptional influence on literature as his ideas seem to appeal more to
the feminists. Instead of attempting to look at the Freudian unconscious and conscious from a new angle, he
tried to allocate more importance to the unconscious as the core of our being and he claimed that
unconscious is structured like a language (Lieberman, 88). Hence, differences could be found between
Freuds theories and Lacans revisions of them; for instance Bertens (2001) believes that Lacans work
avoids the fixed developmental scheme that Freud proposed and instead proposes a relational structure that
allows for difference (160). Grosz believes that the significance of Lacans theories lies on the fact that they
underscore the originality of Freuds theories and attempt to justify psychoanalysis in feminist terms. From
her point of view, the privilege of using Lacans theories in feminism is that they interpret womens castration
and penis envy from socio-historical and linguistic point of view (Morris 1993:101). As Lacans theories help
psychoanalytic feminists understand womens position in the patriarchal society, his two postulations on
imaginary and symbolic worlds and also phallus will be explained in the following paragraphs and the
identities constructed for women in the patriarchal world will be identified. Lacan reviewed Freuds theory of
Oedipus complex and chose the term Imaginary for the stage in which the child identifies with the maternal
body and before it acquires language and a perception of self (Morris 1993: 103). Lacan interpreted Frueds
notion of the difficult journey form pre-Oedipal stage to Oedipal as a strenuous path towards self-realization.
This transition is commenced by the mirror stage in which the six-month old child gains the imaginary
perception that it is a separate being from the mother through looking at itself in the mirror or in the mothers

354
eyes. Lacan believes that the childs image of itself is a fancied and imaginary one as it is not yet a separate
being from the mother. The conception of an imaginary self, which is created within us at this stage, will
remain with us and we always look for real and authentic self. However, the childs conception of a social
self is achieved only through the resolution of the Oedipal complex. It is the castration complex which results
in the child entry to the social order and language system called symbolic by Lacan. The need for speech
arises from the end of the unity with the mother while at the stage of attachment to the mother, the child does
not need to know any language as it needs are gratified easily. On the other hand, separation from the
mother leaves the child in the symbolic in which it has to speak for its needs to be satisfied. Furthermore, he
contends that phallus is the signifier in language, which displays the law of father and the loss of the mother.
The boy identified with the father as he recognizes him as the possessor of the phallus (Jones 1999: 455).
The outcomes of the transition from the Imaginary to the Symbolic will be explained in the following
paragraphs.
Contrary to Freud who assumed that penis is the origin of the gender construction. Lacan believed
phallus to be what distinguishes the genders. According to him in the imaginary world, women do not suffer
from a lack but in the Symbolic world, equation of the clitoris with the penis is nullified in order to recognize
women as incomplete and castrated as phallus is the signifier because of the existing structure of the
patriarchal power ( Grosz 1990: 124). The relation to the phallus is what determines the role of each sex in
society and it also establishes the structure of romantic relations between men and women. For Lacan, it is
the phallus, which defines the subjects access to the Symbolic world and builds up the structure of language
as both in English and French the verb is conjugated with either being ( etre) a phallus and having (avoire) a
phallus. Based on Lacans definition of phallus, Grosz perceives the phallus as a signifier of the access to or
lack of power and self-assertion; the phallus thus distribute access to the social categories invested with
various power relations (1990:121). She comments on the role of the phallus as depicting womens
incompleteness: When the veils are lifted, there is only Medusa-the womens castrated genitals, lacking,
incomplete, horrifying. Salomes dance like strip-tease can only seduce when at least one veil remains,
alluring yet hiding the nothing of womens sex (1990: 121). Her assumption of phallus is what induces men
have more narcissistic feelings towards themselves as they recognize women as incomplete. She puts the
valorization of the phallus and the negation of the vagina side by side and identifies phallus as what
determines the identity of men and women in society. For instance, men are recognized as subjects who can
exchange among them and silence them. A woman , then, adopts a seductive, coquettish attitude as the
result of her attempt to become the phallus of the object of the desire for the other . For Lacan, the girl should
use techniques which include: Seductive, Coquettish behaviour, narcissism, vanity, jealousy, and a weaker
sense of justice-are a consequence of her acceptance of her lack (of the phallus) ( Grosz, 1990:132). They
are strategies developed to ensure that, even if she doesnt have the phallus, she may become the phallus,
the object of desire for another ( 1990:132). Psychoanalytic feminist Julia Kristeva, who base her theory on
Jacques Lacans signification of the Symbolic order will be examined in the following part to illuminate
womens resistance to mens intention to objectify them.

1.3 Abjection/Death

One of the most fundamental aspects of the subject in process, what Kristeva terms abjection. She defines it
as the state of objecting or rejecting what is other to oneself and thereby creating borders of an always
tenuous I (McAfee 2004: 46). Kristevas notion of abjection figures most prominently in her later book,
Powers of Horror: an Essay on Abjection (1982). As I mentioned earlier, Lacan argued that subjectivity arises
when a child is at some point between six and eighteen months of age when s/he see her/himself in a mirror
and takes the image to her/ himself; however, this identification of oneself with an image is false, because the
self and the image are not one and the same. But, this identification helps the child develop a sense of unity
in her/him. Kristeva agreed that the mirror stage may bring about a sense of unity, but she believed that,

355
even before this stage, the infant begins to separates itself from the other 5 in order to develop the borders
between I and other. The infant develops this separation by abjection (McAfee 2004: 46). For Kristeva,
abjection is a process of jettisoning what seems to be part of oneself. The object is what one spits out,
rejects, almost violently excludes from oneself: sour milk, excrement, even a mothers engulfing embrace.
Based on Kristevas postulation, what is objected to is radically excluded but never banished altogether. In
fact, it hovers at the periphery of ones existence, and is constantly challenging ones own tenuous borders of
selfhood. Therefore, what makes something abject and not simply repressed is that it does not entirely
disappear from consciousness. It remains as both an unconscious and a conscious threat to ones own clean
and proper self. For Kristeva (2004), the object is that what does not respect boundaries. It beseeches and
pulverizes the subject (46). Based on Kristevas perception, the abjection speaks of curdling milk, dung,
vomit, and corpses and of how one retches at their presence. All this is to show the violence by which the
phenomena that both threaten and create the selfs borders are jettisoned:
Food loathing is perhaps the most elementary and most archaic form of abjection. When the eyes see or
the lips touch that skin on the surface of milk harmless, thin as a sheet of cigarette paper, pitiful as a nail
paringI experience a gagging sensation and, still farther down, spasms in the stomach, the belly; and all
the organs shrivel up the body, provoke tears and bile, increase heartbeat, cause forehead and hands to
perspire. Along with sight-clouding dizziness, nausea makes me balk at that milk cream, separates me from
the mother and father who proffer it. I want none of that element, sign of their desire; I do not want to listen.
I do not assimilate it. I expel it. But since the food is not an other for me, who am only in their desire, I
expel myself, I spit myself out, I abject myself within the same motion through which I claim to establish
myself. (1992: 3)
Kristeva identifies the phenomenon that sets off abjection: and it is the presence of a cadaver. She
believed that death seemed to infect the body and through death, we experience the fragility of our own life.
According to Kristeva, if dung signifies the other side of the border, the place where I am not and which
permits me to be, the corpse, the most sickening of wastes, is a border that has encroached upon everything.
It is no longer I who expel, I is expelled (1992:4). She mentions that the presence of a corpse violates the
borders:
Deprived of world, therefore, I fall in a faint. In that compelling, raw, insolent thing in the morgues full
sunlight, in that thing that no longer matches and therefore no longer signifies anything, I behold the breaking
down of a world that has erased its borders: fainting away. (1992:24)
Kristeva refers to the corpse as a symbol, saying that it is direct infection of my own living: It is death
infecting life. Abject. It is something rejected from which one does not part, from which one does not protect
oneself as from an object (1992:3). Furthermore, Kristevas view of death was that the object continuously
violates ones own borders; it is sickening yet irresistible: imaginary uncanniness and real threat, it beckons
to us and ends up engulfing us (1992:3). Therefore, Kristeva proposes the concept of abjection which
considers improper, unclean and disorderly elements of the imaginary as rejected in the symbolic. Her notion
of death/abjection as an element for empowering women is used in Hardys female characters to depict the
vigor of women in the face of the symbolic world, and how death threatens the symbolic law.

2. Patriarchy Regulate Women

It can be seen in Tess of the dUrbervilles that the first bearer of the Name of the Father, whose authority and
power exhibits itself through language, is Alec, who suppresses Tess. Alecs patriarchal language is
manifested in his conversation with Tess in their first meeting in the fruit-garden at Trantridge. The reader
notices the way Alec gazes at Tessas the possessor of the phallus that desires Tess phallic body. Based
on Lacans assumption, Alec is position as a speaking being and his subjectivity is affirmed by the phallic as
a sign of mastery. It is here that Tess doesnt have the phallus, so she becomes the object of desire for Alec:


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He stood up and held strawberries by the stem to Tess mouth: No-no! she said quickly, putting her fingers
between his hand and her lips. I would rather take it in my own hand. Nonsense! he insisted; and in a
slight distress she parted her lips and took it in (Hardy 1958: 64).
Tess has entered the world of language, authority, and symbolic laws. Alec displays the law of the father
here. Alecs function is masculine and he is positioned as having the phallus. It is only through the having the
phallus that cultural value and dignity is given to him .It is here that we notice the power and patriarchal
language that he uses to suppress Tess. As Kristeva mentions, the sociosymbolic contract has been a
sacrificial contract (Donovan 1992: 113). Tess is sacrificed by the symbolic Victorian law. She obeys Alecs
patriarchal request; and her reaction to this lawful language should be observed as well: Tess eating in a
half-pleased, half-reluctant state whatever dUrberville offered her (Hardy 1958: 64). The second meeting
between Alec and Tess takes place in his gig. Alec as the possessor of phallus desires Tesss phallic body.
While the phallus provides all meaning, Alec manifests its power to Tess. Tess presents her role as lack in
the symbolic Victorian society: now damn itIll break both our necks! (Hardy 1958:79) swore her
capriciously passionate companion. So you can go from your word like that, you young witch, can you?
(Hardy 1958:79). Alecs forceful words to Tess highlight the function of patriarchal symbolic order, in which
her identity has been denied and destroyed. She seems to exist outside the social system, her subjectivity
under the control of rules and traditions. With Alecs authority, Tess is observed as a sexual object. [Alec]
knelt and bent lower, till her breath warmed his face, and in a moment his cheek was in contact with hers.
She was sleeping soundly, and upon her eyelashes there lingered tears (Hardy 1958: 101). Alec observes
Tess as a sexual object. He assumes Tess to be only sexual object for him to satisfy his desire. Although
Tess resists his advances, he does not give up on her. She is only beautiful object for him. The second
bearer of the Name of the Father in Tess life is Angel. Angel grows up in the symbolic order [...] which is
governed by the paternal metaphor and the imposition of the paternal law (Homer 2005: 57). Angel chooses
Tess for marriage based on the rules of a patriarchal culture and the symbolic law that defines her as a pure
and saintly woman. However, when Angel finds out that Tess has had sexual relationship outside the
marriage (even though it was against her will) it leads him to look upon her as a guilty woman. The superiority
and power of law in Angels blood is so full of strength that Tess plea for forgiveness is rejected and Angel
said that O Tess, forgiveness does not apply to the case! You were one person; now you are another. My
God-how can forgiveness meet such a grotesque-prestidigitation as that! (Hardy 1958: 264). Angle as the
valued party and the possessor of authority, believes that Tess is not good enough for marriage since she is
not virgin. Tess fails to become the phallus for Angel to extend his position and power. She was excluded
from the symbolic conception of Angel and was repudiated because of her past deeds. According to Joseph
Mahan, in the nineteenth century, it is the woman who incurs the social stigma for behavior for which men
may be chiefly to blame (qtd. in Ahmad 2003: 45). Tesss realization of her fate reflects Lacans statement
that the symbolic order which, as andro- or phallocentric, is governed by the fathers law (Fraser and Bartky
1992:123). Tess is suffering under the patriarchal norms which lead to the shattering of her subjectivity. .It
happens when the symbolic world rejects her as an unchaste that violated the law, and her identity is formed
in the patriarchal society which considers unchaste as a dishonor to the family. Alec and Angel assume Tess
to be only a sexual object to satisfy their desire and she is expected to become a commodity, the one who
served them best. Therefore, Lacans postulation on the symbolic order and its processes clarify the identity
constructed for Tess as commodity in the patriarchal world.
It is Michael Henchard, in The Mayor of Casterbridge, who acts as the bearer of the Name-of-the-Father.
His pessimistic symbolic language is manifested in his speech, and it is through the construction of womens
subjectivity in the culture of the Victorian symbolic order that Henchard puts his wife, Susan, in a perfectly
inferior position: Ill sell her for five guineas to any man that will pay me the money and treat her well; and he
shall have her for ever, and never hear aught o me. But she shant go for less. Now thenfive guineasand
shes yours (Mayor 1936: 13). Henchards putting his wife up for auction serves to highlight Lacans
postulation:

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Woman is introduced into the symbolic pact of marriage as an object of exchange along basically
androcentric and patriarchal lines. Thus, the woman is engaged in an order of exchange in which she is an
object: indeed, this is what causes the fundamentally conflictual character of her positionI would say
without exit. The symbolic order literally submerges and transcends her. (qtd. in Fraser and Bartky 1992:
123)
Susan was presented as commodity. Her subjectivity is shattered under the norms of the symbolic
society. She is trapped in the symbolic process. Susans split of subjectivity does not happen just once in her
life, but at another instance eighteen years later, when Henchard attempts to treat her as commodity again
and buys her back. Henchards patriarchal symbolic is constructed unconsciously; Susan is expected to be
the object of exchange since she lacks the phallus, and she is used to guarantee Henchards power and
mastery. He sat down at the table and wrote a few lines; next taking from his pocket-book a five pound note
which he put in the envelope with the letteradding to it, as by an afterthought, five shillings (Hardy 1936:
68). While Susan reacts by saying: I am quite in your hands, Michael, she said meekly (Hardy 1936:74).
Henchard not only dominates with patriarchal power his wife, but also his daughter, Elizabeth-Jane. He tries
to control the societys perception of Elizabeth, and emphasizes the legal language which is constructed
under the rules and norms in that symbolic society. This is evident when he scolds Elizabeth for her accent,
with even her handwriting coming under scrutiny: as she produced a line of chain-shot and sand-bags, he
reddened in angry shame for her, and, peremptorily saying Never mindIll finish it, dismissed her there and
then (1936:131). Elizabeths identity is presented as commodity in the construction of Henchards
unconscious. He uses his power to make her obey his rules. The extent of her suppression is evident in the
line: Oh, I wish I was dead with dear mother! (Hardy 1936:137). The other heroine in Hardys novel whose
subjectivity is undone, and plays the role of a commodity in the symbolic order, is Lucetta Templeman. When
Henchard becomes mayor of Casterbridge, he takes Lucetta on as a lover. Lucetta believes in his love, and
hopes to marry him. She takes care of Henchard for eighteen years in the absence of Susan. However,
Henchard abandons her and decides to marry Susan once again. Lucetta is commodified to the extent that
Henchard decides to pay her for her services:

Henchard copied the letter, and, enclosing a cheque, took it to the post-office,
from which he walked back thoughtfully.
Can it be that it will go off so easily! he said. Poor thingGod knows!
Now then, to make amends to Susan! (1936:81)

The shift of Henchards attention from Lucetta to Susan, relates to the womans ability to become the phallus
in this symbolic order:

If, in effect the man finds satisfaction for his demand for love in the relation with the woman, in as much as
the signifier of the phallus constitutes her as giving in love what she does not haveconversely, his own
desire for the phallus will make its signifier emerge in its persistent divergence towards another woman who
may signify the phallus in various ways, either as virgin or as prostitute. There results from this a centrifugal
tendency of the genital drive in love life, which makes impotence much more difficult to bear for him, while the
Verdrangung [repression] inherent in desire is more important. (qtd. in Grosz 1990:136-7)
Lucettas misery in the symbolic world of laws, in which her subjectivity is submerged, and the status of
sexual commodity being pronounced upon her, after eighteen years of living under a false image, is suitably
summarized in the following excerpt from Lacan:
She strives to be affirmed as a unique, desirable, special subject, an individual distinct from all other
women; yet romantic love relations involve, instead, putting her on a pedestal (the projection of the mans
narcissistic self-conception) and/or a reduction to the position of sexual object (receptacle of active masculine

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desire). What is more clearly affirmed is not her subjectivity but her ability to be reduced to desired object,
which she shares in common with all women in patriarchy. (1968:134)
Thus her fate is to be reduced to an object, which reflects Lacans postulation that the absence of a
phallus is defined as a lack of value, given that the phallus stands for value, limit, authority and law: For
women to be the phallus means, then, to reflect the power of the phallus, to signify that power, to embody
the phallus, to supply the site to which it penetrates, and to signify the phallus through being its other, its
absence, its lack, the dialectical confirmation for its identity (qtd. in Hoshyar Rashti 2006: 54). Lucetta
adopts a seductive, coquettish attitude as the result of her attempt to become the phallus, or the object of the
desire for Henchard. Henchards love toward her was not real; it was a way to confirm his own subjectivity, in
order to be in a position of authority and power. Therefore, Tess, Susan, Elizabeth, and Lucetta are all
victimized under patriarchal culture; they are sacrificed in this realm. The principles of Lacanian
psychoanalysis used above indicate how their subjectivity is suppressed in Victorian cultural traditions, and
their identities reduced to mere commodities.

3. Women Defying the Patriarchy

Reading Kristeva, we see that the traditional notion of a stable, autonomous and unified subject is replaced
by a more fluid notion of subject, that is, subject-in-process or subject on trial. Kristeva notes that [a] fixed
identity [is] perhaps a fiction, an illusionwho amongst us has a fixed identity? Its a phantasm (qtd. in
Montashery 2006: 15). This relates to the last incident worth noting in Tess of the dUrbervilles, in terms of
Tess playing with convention: her murder of Alec and own her death in Phase the Seventh, entitled
Fulfillment. Tesss death is the incidence in which the most violence to the body, and accordingly, it is the
greatest threat to the patriarchal borders. While Tess enters into the society, she is soon prohibited and
repressed within patriarchal cultures; therefore Tesss subjectivity is not complete yet, it is thwarted by
patriarchal laws; but the process is to be continued. Kristeva suggests that misplaced abjection is one cause
of womens oppression. In patriarchal cultures, women have been reduced to the fixed identity of maternal
function, that is to say, reduced to reproduction. So, if it is necessary to abject the maternal function, then all
will be abjected along with it, and it is this misplaced abjection that is responsible for womens oppression
and degradation within patriarchal cultures. Thus, the only conceivable threat to the symbolic while living is
death; it can also be considered as a threat to identity.

[Abjection] is an extremely strong feeling which is at once somatic and symbolic, and which is above all a
revolt of the person against an external menace from which one wants to keep oneself at a distance, but of
which one has the impression that it is not only an external menace but that it may menace us from inside.
So it is a desire for eparation, for becoming autonomous and also the feeling of an impossibility of doing so
[...] (qtd. in Montashery 2006: 48)

Therefore, death or loss of the corporeal body is the only way Tess can retain any pride or subjectivity.
Through her death, she speaks to Victorian readers; she escapes cultural structuration by retreating out of,
rather than into corporeality (Silverman 1993: 143). It must be noted that before Tess actually dies, but after
she has lost her body, Angels speech becomes as inexpressive as silence (Hardy 1958: 425). For the first
time in the novel, a mans words are powerless. Tess physical act has destroyed the power in all languages.
For the first time, Tess body, rather than being used as a commodity, is an abundance of meaning,
threatening the symbolic realm of Victorian conventions. This particular analysis is also applicable in The
Mayor of Casterbridge; it is the moment of Susans death that Elizabeth, her daughter, begins questioning:
[...] all this while the subtle-souled girl asking herself why she was born, why sitting in a room, and blinking at
the candle, why things around her had taken the shape they wore in preference to every other possible
shape; why they stared at her so helplessly, as if waiting for the touch of some wand that should release

359
them from terrestrial constraint; what that chaos called consciousness, which spun in her at this moment like
a top, tended to, and began in. ( Hardy 1936:119) As with Tess, Susans death destroys the stability of
patriarchal language. The exact border between life and death has been broken, and in fact her death
seemed to infect the body, similar to Kristevas own recollection of staring at a corpse:
Deprived of world, therefore, I fall in a faint. In that compelling, raw, insolent thing in the morgues full
sunlight, in that thing that no longer matches and therefore no longer signifies anything, I behold the breaking
down of a world that has erased its borders: fainting away (1992:3).
An old inhabitant remarks, upon Susans death, that she is helpless to hinder that or anything now. But
Kristeva believes that the corpse is a border substance, polluting life with death in the same way that other
forms of body waste disturb our clear sense of distinctions between living and dead, self and other, safety
and harm (qtd. in Covino 1996: 81). Therefore, Tess and Susan, being armed with the object of death,
desire to abolish phallocentric and patriarchal laws before they are returned to the wholeness of chora.

4. Conclusion

As it has been shown in the study, through the Lacanian psychoanalysis process which is a sample of
patriarchal Victorian norms and rules, women were excluded from the patriarchy and they were suppressed
in the symbolic world. The identities of Tess, Susan, Elizabeth and Lucetta are all transformed to ones that
best serve the patriarchy. Their identity becomes bound up with the meanings and the values of the symbolic
rules and the power of that the metaphor and phallus gives them. They are expected to have a lack of
subjectivity in order to exist in the Victorian society. It is also clarified with the aid of the Lacanian
psychoanalytic theories that Hardy intends to portray his female characters as commodity; however, a
heroines vigor derails the security of both Hardy and Lacans patriarchal world, and resists this threat
through reviving ruined identities. It has been clarified that women have some ability to shatter the symbolic,
patriarchal world. Psychoanalytic feminist, Julia Kristeva allows for a paradoxical triumpth and shows the
awareness of womens struggles in the world of the patriarchy. Womens connection to death, through
Kristevas theory of abjection, highlights that a womans body can shatter being as an object for men through
the presence of cadaver. So, death can break the only one subjectivity in the symbolic patriarchal order and
create a split in it. Tess experiences dealth or loss of her corporeal body, it destroy the stability of patriarchal
language. It makes Angel speechless, while Susans dealth causes tension and worry to Henchard. She
inflicts anxiety upon him.

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The Relationship Between Prior Knowledge and EFL Learners' Listening
Comprehension: Cultural Knowledge in Focus

Samira Hayati Samian

E-mail: Sr.Hayati.2006@gmail.com

Hossein Vahid Dastjerdi

Associate Professor of Applied Linguistics
Email: h_vahid@yahoo.com
Doi: 10.5901/mjss.2012.03.01.361

Abstract The present study investigated the impact of cultural familiarity on improving Iranian EFL learners listening
comprehension. To do this, forty English language learners were selected at a private language institute in Isfahan based on
their scores in FCE test and were randomly assigned to four groups of ten. A pre-test was administered to the four groups before
any treatment. During the experiment, Group A had exposure to target culture texts. The participants in Group B had exposure to
international target culture texts. The participants in Group C had exposure to source culture texts. The participants in Group D
had only exposure to culture free texts. At the end of this treatment, the four groups took a post-test which was the same as pre-
test to see whether the treatment had any influence on their listening proficiency. The results of the post-test showed that the
four groups performed differently on the post-test, which indicated that greater familiarity with specific culturally-oriented
language listening material would improve Iranian EFL learners listening proficiency.

Keywords: Listening comprehension, Cultural knowledge, EFL learners, Source culture, Target culture

1. Introduction

Listening is probably the most important and fundamental of the language skills as humans spend
approximately 60% of their time listening (Rubin & Thompson, 1994, p.85). It is found that in daily life
listening is used the most frequently (42%), followed by speaking (32%), reading (15%), and writing (11%)
(Flowerdew, 1994). Chastain (1976, as cited in Chen 2003) remarked that listening is served as the basis for
development of speaking. Therefore when learning a second or foreign language, the first step is to make an
effort to listen, just as in first language acquisition. Listening is probably the least explicit of the four language
skills, making it the most difficult skill to learn. It involves physiological and cognitive processes at different
levels (Field, 2002; Lynch, 2002; Rost, 2002), as well as attention to contextual and socially coded acoustic
clues (Swaffar & Bacon, 1993).
However, at one time, listening was assumed to be a passive activity, meriting little research and
classroom attention. But at present, some researchers have devoted some time to listening and it is
recognized as an active process, critical to L2 acquisition and deserving of systematic development as a skill
in its own right (Morley, 1999). In the past 10 years, much attention in second language learning research
has been devoted to composing hypotheses and theories explaining crucial factors that may develop foreign
language (FL) listening comprehension (Nagle & Sanders, 1986; Buck, 1991). Even though there is no
generally accepted theory on FL listening comprehension development, some researchers (e.g. Richards,
1983; Christine & Christa, 1995) believe that listeners linguistic knowledge and background knowledge are
the essential factors that could affect their understanding of the foreign language.


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It is necessary to understand how listening processes work and what affects them, since it play a central role
in second or foreign language learning. A number of researchers have investigated the problems that
language learners face while listening. Some of these problems include fast rate of speech (Blau, 1990;
Chen, 2002; Griffiths, 1992; Huang, 1992; Long, 1990; Zhao, 1997), inattention (OMalley, Chamot, and
Kupper 1989), background knowledge (Markham & Latham, 1987; Long, 1990; Chiang & Dunkel, 1992), lexis
(Kelly, 1991), unfamiliarity of strategies used ( Goh, 1997), and limited memory capacity (Wu, 1998).
Brown & Yule (1983) found four clusters of factors which can affect the difficulty of spoken language: the
speaker (the number of the speakers, speech rate, the types of accent), the listener (the role of listener, the
level of response, the interest in the subject), the content (vocabulary, grammar, information structure,
background knowledge), and support (visual aids to support the text pictures, diagrams, etc. It is believed in
the literature that among these factors learners background knowledge and content schemata can affect the
quality of listening comprehension to a large extent. Research in reading supports the notion that activating
background knowledge and applying this knowledge to new input greatly facilitates processing and
understanding (Graves & Cook, 1980). Listening has been considered, like reading, as an active process of
interpretation that goes beyond the simple decoding of the signal. In addition, its major purpose is the
construction of meaning (Rost, 2002) by matching what listeners hear with what they already know, i.e. their
background knowledge.
One aspect of background knowledge is culture that is embedded in even the simplest act of language
(Hao, 2000; Kramsch, 1993). Kramsch (1993) maintains that every time we speak we perform a cultural act.
Accordingly, cultural knowledge as a basis for language learning is now emphasized in modern language
teaching.

2. Background to the Study

Listening comprehension is an active and conscious mental activity in which listeners achieve
comprehension by using clues from contextual information, personal expectations, cognitive processing
skills, and background knowledge and it is a simplistic that listening be regarded as a passive process of
mere understanding of aural input. In fact, a great number of researchers have defined listening as an active
and complex process (Rivers & Temperley, 1987; Byrnes, 1984; Call, 1985; OMalley, Chamot, & Kupper,
1989; Vandergrift, 1999). OMalley, Chamot, and Kupper (1989) viewed listening comprehension as an
active process in which individuals focus on selected aspects of aural input, construct meaning from
passages, and relate what they hear to their existing knowledge (p.418).
It is said that listening involves the interaction between the context and linguistic knowledge that is a
bottom-up (text-based) and top-down conceptually-based processing skill (Brown 2001). In bottom-up
processes, listeners understand the spoken input and process sounds, words, phrases, sentences, ideas and
the relationships among the ideas. In top-down processes, listeners predict the spoken input based on their
existing knowledge or the previous relationships among the ideas. Therefore, listener understands what he
hears and connects it to his prior knowledge of the world. A number of research studies indicate that more
proficient learners approach listening while using both top-down and bottom-up process whereas less
proficient learners use more bottom-up processes (OMalley, Chamot, and Kupper 1989; Bacon 1992, as
cited in Chien and Li, 1997).
Listeners need to attempt to make sense of information at the same time they are internalizing that
information. There is little time for listeners to reflect upon the information and have opportunities to ask for
repetition. All learners may have something in common when dealing with comprehending spoken messages
in that they integrate what they hear with their existing background and world knowledge when they construct
and interpret meaning from information that they hear. In other words, language-learning difficulties may be
overcome by making well use of learners prior knowledge or what learners already know about the world. In
the early 1960s, cognitive psychologists emphasized the importance of learners background knowledge for

363
developing second language skills. According to Ausubel (1968), learning is effective when it is processed
with meaningful materials related to the knowledge that learners already possess. Learners existing
knowledge base needs to be organized so that new information is easily matched with its cognitive structure.
It is generally accepted that in both listening and reading comprehension, background knowledge is highly
important for comprehending a spoken or written text.
While listening or reading, the learners skim parts of the text which are not related to their purpose and
try to focus their attention to the semantic or logical relations of the text instead of processing all words of the
discourse. If they encounter linguistic information that they do not know, it is the key words which provide
them with a clue for comprehending the text. They then try to use the context and their background
knowledge to comprehend the text. In this vein, comprehension is achieved just by processing the text word
by word, but by linking the ideas behind the words to draw conclusions. The emphasis is placed on the
underlying meaning of utterances which enable learners to overcome the problem of focusing on every word
in the text (McNeill, 1997). Using clues from the context and their background knowledge to understand an
overall text enables learners to reduce the intensity of listening effort (Hasan, 2000) as well as to improve
their listening comprehension skill. Few empirical studies have explored the potential relationship between
prior knowledge and listening comprehension.
Markham and Latham (1987) conducted research to assess the influence of religious-specific
background knowledge on listening comprehension of adult ESL students. Sixty five ESL students who were
categorized as Muslim, Christian, and neutral, respectively, participated in the study. The analysis of recalled
data indicated that students adhering to a specific religious group recalled more ideas, and produced more
appropriate elaborations and fewer inaccurate distortions regarding passages associated with their particular
religion. The researchers concluded that background knowledge does significantly influence ESL students
listening comprehension.
In his study, Hadley (1993) found that background knowledge may be helpful in considering what kinds
of knowledge could be used for comprehension tasks. He maintained that three kinds of background
knowledge may be potentially activated in the second language comprehension process: linguistic
information, which is related to the target language code; knowledge of the world, which includes the
concepts and expectations stored from learners prior experience; and knowledge of discourse structure,
which is the understanding of how various types of discourse are generally organized. The limitation of
processing the linguistic form activates only learners linguistic information, whereas learners knowledge of
the world and of familiar discourse structure should be stimulated by language learning activities which
provide relevant context.
In another study, Hohzawa (1998) found, by studying 58 Japanese English learners, that listeners with
high prior knowledge understood more familiar text than unfamiliar text and more proficient L2 listeners
understood more than less-skilled listeners in either familiar or unfamiliar text. Students were assigned to a
background-information group (experimental group) and to a no background-information group (control
group). A proficiency test was given to measure their prior knowledge about the topics of three news stories.
Students in the experimental group discussed the content of the stories briefly after the introductions to the
news stories were provided. Collected scores from a written recall-protocol and a comprehension test
revealed that students who lacked background information tended to produce more instances of inaccurate
recall of the text or distortions, which was similar to findings of Markham and Latham (1987).
In their study, Sadighi and Zare (2002) explored the effect of background knowledge on listening
comprehension. Two TOEFL preparation classes allocated to EFL students took part in the study. The
experimental group received some treatment in the form of topic familiarity, and their background knowledge
was activated. Then a 50-item TOEFL test of listening comprehension was administered to both experimental
and control groups. A statistical analysis of the results provides some evidence in support of the effect of
background knowledge on listening comprehension.


364
Role of culture in language learning and teaching was investigated by Genc and Bada (2005). This study
was conducted with the participation of the students of the ELT department of ukurova University in Turkey.
As a result of the study, a significant similarity between the students views and the theoretical benefits of a
culture class as argued by some experts in the field was observed. Regarding the benefits of learning about
culture, attending the culture class has raised cultural awareness in ELT students concerning both native and
target societies. This study illustrates how arguments of language teaching experts in favor of a culture class
in language learning and teaching are justified by some sound evidence provided by the participants of this
study.
Unlike L2 reading comprehension studies that have found that the reading performance of L2 learners
is mainly affected by the level of language ability rather than by content knowledge and that the effect of
content knowledge varies according to the level of L2 proficiency, L2 listening studies have shown somewhat
inconsistent results. However, Chiang and Dunkel (1992) reported that content knowledge did not support
comprehension of listening to monologue texts, whereas L2 proficiency played a significant role in the degree
of L2 listening comprehension demonstrated. Similarly, Jensen and Hansen (1995) reported that listening
comprehension performance of L2 learners was mainly affected by their level of L2 proficiency, not by their
prior knowledge. Additional studies are required to establish the relationship between background knowledge
and L2 proficiency in L2 listening comprehension, especially in examining the specific roles learners L2
proficiency and background knowledge play in comprehension.
In the current study, expanding on this line of research, we tried to discover the effect of cultural
familiarity on Iranian EFL learners listening comprehension. In other words, having reviewed previous
studies on the relationship between background knowledge and listening comprehension, this study was
conducted in an EFL context, Iran, to address the following questions:

1. Is there any relationship between familiarity with the target culture (English and American) and Iranian EFL
learners listening comprehension?
2. Is there any relationship between familiarity with international target culture (culture of different foreign
countries such as Japan, Australia and France) and Iranian EFL learners listening comprehension?
3. Is there any relationship between familiarity with Persian culture (source culture) and Iranian EFL learners
listening comprehension?
4. Do culture free materials have any effect on Iranian EFL learners' listening comprehension?

3. Methodology

3.1. Participants

For the present study, forty students learning English at a private language institute in Isfahan were selected
at the intermediate level based on their scores on FCE test. Then, the participants were randomly divided into
four groups. The number of male and female participants was not equal. There were 24 female and 16 male
students. Their age range was 16-32.

3.2. Instruments

Two types of instruments were used in this study as follows: First, FCE test containing 50 recognition items
was used for selecting forty homogenous participants. Second, there were materials selected from sources
such as New Interchanges and Top Notch Series to use for treatment. In order to account for the influence of
culture on listening comprehension, four types of materials reflecting different cultures were focused: English
and American culture, international target culture, Persian culture and culture-free texts.


365
3.3. Procedures

First, the FCE test was administered to seventy five EFL learners, both males and females, at a private
language institute in Isfahan. After the scores of the proficiency tests were obtained, the mean and standard
deviation of the scores were calculated and forty participants were selected at intermediate level to
participate in the study. Then, they were randomly divided into four groups, Group A (English culture), Group
B (International target culture), Group C (Persian culture), and Group D (culture-free). Over the course of
three weeks (18 hours), each group practiced with listening comprehension materials that reflected a
particular culture. Finally, the four groups took a listening comprehension test which included sample listening
comprehension materials as mentioned earlier in this paper. The scores of the four groups were compared
with one another to see the potential effect of treatment on students listening comprehension in each group.

4. Results

a. The analysis of variance of participants' post-test scores in the four groups

The mean scores of the students of each group in the pre-test and post-test are shown in Tables1 and 2. As
is observed, the score of the participants who listened to the culturally-oriented materials are higher than the
other three groups.

Table 1. Mean scores of the four groups in the pre-tests

Condition Mean N Std. Deviation
TCT 12.66 10 1.37
ITCT 11.2 10 1.66
SCT 11.0 10 1.62
CFT 10.83 10 1.82
TOTAL 45.69 40 6.47

Table 2. Mean scores of the four groups in the post-tests

Condition Mean N Std. Deviation
TCT 15.73 10 1.82
ITCT 14.71 10 1.51
SCT 14.4 10 1.64
CFT 11.16 10 1.70
TOTAL 54 40 6.67

An analysis of variance (ANOVA) showed that the scores on the four groups in post-tests to be significantly
different. Since the F-ratio is bigger than one, we can understand that there is some difference among the
means. Similarly, to show the precise location of any significant differences between four groups, a
dependent t-test was calculated. Additionally, post-hoc dependent t- tests indicated that regarding the effect
of cultural background knowledge, the performance of all groups differed significantly (p<0.001).
The differences between the mean scores of groups A and B (d =1.02) were lower than the differences
between groups A and D (d =4.57). Similarly, the differences between the mean scores of A and B (d =1.02)
appeared to be lower than B and D (d=3.55), and A and C (d =1.33) lower than C and D (d = 3.24). On the

366
other hand, the difference between the mean scores of groups B and C (d = 0.31) was lower than that of
groups B and D (d = 3.55) and groups C and D (d=3.24).

Table 3. One-Way ANOVA Test Results

Dependent
Variable
Sum of Squares df. Mean Square F Sig.
Between
Groups
321.41 3 116.47 11.88 8.21
Within Groups 1062.98 118 8.9542
Post- Test
score
Total 1399.39 121

b. The results of Group A (Target Culture) on the pretest and posttest:

Regarding Group A performance, there is a significant difference between the participants mean scores in
the pretest and the posttest. The statistical t-test was administered to make sure that the difference in the
mean scores was significant. For Group A, the t-observed was calculated (4.09) for a degree of freedom of
(18) which was higher than the t-critical of (1.441). The results confirmed that Group A performed differently
in the two tests. As Table-4 shows, the difference between the means of the scores of Group A is statistically
significant (P< 0.01, t-value = 4.09). This shows that the subjects in TCT group performed better in the test
and this seems to be the result of the treatment (familiarizing them with the culturally-oriented materials). So
the participants in Group A improved their listening comprehension during the classes through greater
exposure to target culture texts as culturally-oriented language listening materials.

Table 4. Descriptive statistics related to the results of the pretest and the posttest of Group A
participants

Groups N Mean SD t-test
Group A Pretest 10 12.66 1.37 4.09
Group A Posttest 10 15.73 1.82

c. The results of Group B (International Target Culture) on the pretest and posttest:

Concerning Group B performance, there was a significant difference between the participants mean scores in
the pretest and the posttest. The t-test was run in order to make sure that the difference in the mean scores
was significant. The t-observed was calculated (3.18) for degree of freedom of (18) which was higher than
the t-critical of (1.441). The results therefore show that Group B performed differently in the two tests. In other
words, as the table shows, the difference between the means of the scores of the Group B is statistically
significant (P< 0.01, t-value = 3.18).

Table 5. Descriptive statistics related to the results of the pretest and the posttest of Group B
participants

Group B Pretest 10 11.2 1.66 3.18
Group B Posttest 10 14.71 1.51

367
d. Results of Group C (Persian Culture) on the pretest and the posttest:

With regard to Group C performance, there was a significant difference between the mean scores in the
pretest and the posttest. To make sure that the difference in the mean scores was significant, the statistical t-
test was run. The t-observed was calculated (3.12) for degree of freedom of (18) which was higher than the t-
critical of (1.441). The results, therefore, show that Group C participants performed differently in the two
tests. In other words, as the table show, the difference between the means of the scores of the Group C is
significant (P< 0.01, t-value = 3.12). This shows that the subjects in SCT group performed better in the test
and it seems to be the result of the treatment (familiarizing them with the culturally-oriented materials).

Table 6. Descriptive statistics related to the results of the pretest and the posttest of Group C
participants

Group C Pretest 10 11. 0 1.62 3.12
Group C Posttest 10 12.4 1. 64

e. The results of Group D (Culture Free) on the pretest and posttest:

There is not any significant difference between Group D mean scores in the pretest and the posttest. To
make sure that the difference in the mean scores was insignificant, the t-test was administered. The t-
observed was calculated (.48) for degree of freedom of (18) which was less than the t-critical of (1.441). The
results show that Group D participants performed almost the same in the two tests. In other words, as the
table shows, the difference between the means of the scores of the Group D is not significant (P< 0.01, t-
value = .48). The participants in Group D could not improve their listening comprehension during the classes
by exposure to culture free texts as one kind of specific language listening materials.

Table 7 Descriptive statistics related to the results of the pretest and the posttest of Group D
participants

Group D Pretest 10 10.83 1.82 .48
Group D Posttest 10 11.16 1.70

The critical value of Group A was 1.441, which means that the difference between the t-observed (4.09) and
the t-critical was significant. There was a significant influence on the listening comprehension of the Iranian
EFL learners who listened to texts with English and American culture orientation. The critical value of T in
Group B was 1.441, which is lower than observed T (3.18) of this group. There was a significant difference
between the means. International culture texts had a significant influence on listening comprehension. The
critical value of T in Group C was 1.441 that is lower than t-observed (3.12) of this group, it means the
difference between the t-observed and the t-critical was significant. Texts with Persian culture orientation had
a significant influence on the listening comprehension of Iranian EFL learners. But as it was clear from the
above Table 7 that the t-critical value (1.441) of Group D is higher than t-observed (.48) in this group so
there is not any significant difference between t-observed and t-critical. The t-value revealed that the four
groups performed differently on the posttest and it shows that greater cultural familiarity with language
listening materials promotes the Iranian EFL learners listening comprehension.


368
5. Discussion and Conclusion

As to the purpose of the study, the analysis of the data yielded a number of findings which are discussed in
this section and their relevant implications will be drawn. It was observed that having background knowledge
is a key feature of any kinds of listening materials, so language learners wanting to improve their listening
comprehension should have greater exposure to two kinds of listening materials: target culture materials and
international target culture materials. Through having greater exposure to specific culturally-oriented
materials, for example, English culture materials, language learners improve their listening comprehension.
Background knowledge, cultural familiarity and linguistic complexity are essential linguistic and meta-
linguistic features for enhancing listening comprehension. Accordingly, having exposure to language
materials in which these three features are highly observed can boost listening comprehension development.
Cultural familiarization of the text has a significant effect on listening comprehension. Listeners are expected
to achieve the writers intended meaning by combining existing information with what they listen. In accord
with previous research on the relationship of cultural familiarity and comprehension, this study found that
participants performed significantly better on test questions that had culturally familiar content.
As it was observed, in the pre-test, subjects were unable to determine answers to the comprehension
questions as they faced a lot of barriers in the form of new vocabulary and advertising concepts. As they tried
to overcome this, the process of interpreting the text was interrupted. Therefore, they could not identify the
main ideas and information in the lecture that they needed to answer the comprehension questions. The
result of the study supports those of Markham and Latham (1987), Chiang and Dunkel (1992), and Schmidt-
Rinehart (1994), since they all claimed that background knowledge and topic familiarity would improve
students performance in listening comprehension. Chang and Read (2006) also yielded similar results. They
demonstrated that topic preparation (TP) is the most facilitative among four types of pre-listening supports
across proficiency levels.
According to Anderson & Lynchs (2000) view of Listener as Active Model- Builder, successful
comprehension in listening takes place when the listener has schematic knowledge, knowledge of the context
and systemic knowledge. The treatment lessons had successfully provided the subjects with these three
categories of knowledge. In the treatment lessons, the subjects had the opportunity to learn key vocabulary
items that were presented in the same context as they would hear in the lecture. Other activities that allowed
them to relate content to their own experiences like identifying effective advertisements and the elements that
make them appealing also gave them an insight into the field of advertising. Creating an advertisement for
their own product gave the subjects a chance to put into practice their newly acquired knowledge on this
topic. This familiarity of topic enabled the subjects to successfully identify the facts and details of the
advertising techniques, as well as details that support these main ideas. This ability facilitated their
understanding of the text which explains why they performed significantly better in the post-test. This is
consistent with previous studies (e.g Schmidt Rinehart, 1994) indicating that familiarity with the topic
facilitates listening comprehension.
However, the findings of this study challenges those of Chiang and Dunkel (1992) and Jensen and
Hansen (1995) who reported that L2 proficiency had a more prominent role compared to prior knowledge of
the subjects with regard to their listening comprehension.
All in all, the findings of the study showed that the experimental groups had a better performance in
comparison to the control group in their listening comprehension, and this better performance seemed to be
the result of the background knowledge that the subjects obtained during the treatment. Findings regarding
the positive role of background knowledge are consistent with the findings of the majority of L2 listening
studies. It is important for teachers to recognize that students existing background knowledge can improve
their comprehension significantly. Taking time to assess the conceptual information the listeners bring to the
text will enable teachers to go beyond dealing with the linguistic information in order to help students
understand and make their learning more meaningful. The results of this study and others indicate that it is

369
useful to help students make connections to their background knowledge and build a mental framework to
facilitate their comprehension.
Two major pedagogical implications can be drawn on the basis of the findings of this study. First,
different kinds of pre-listening supports including cultural knowledge can be made as an essential part of
listening comprehension activities. For example, for high-proficient learners, teachers can introduce a reading
text containing similar topic and theme. In this way, listening and reading are integrated and to enhance the
students learning and students will be more willing to dealing with listening comprehension tasks.
Second, it is necessary to emphasize that listening is a multidirectional process, comprising interaction
of many factors. Therefore, the students can understand that to comprehend efficiently, they should consider
the text as a whole and try to activate their background knowledge rather than paying attention to every
single word in the utterance.

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371

Albania Fiscal Policy: Designing Tax Policy by Given Circumstances

Fatbardha Kadiu

Department of Public Administration
Aleksander Moisiu University of Durres
E-mail: fatbardhakadiu@uamd.edu.al

Doi: 10.5901/mjss.2012.03.01.371

Abstract I will consider through this paper the fiscal policy that Albania has applied in the recent years. First I will give an
overview of macroeconomic situation in Albania. After that I will describe an overview of what tax system looks like in Albania, I
will discuss the principle objective that Albania may attempt to achieve through the tax policy. I will conclude by considering the
political economy environment within which tax policy and economic growth must be designed and implemented. The aim of the
paper is to set out some of the basic problems facing tax policy in Albania and to outline some key element that should be
considered in designing the best feasible tax structure for the particular circumstances at this particular time in Albania.

Key words: Tax system, fairness, efficiency, tax revenues, budget deficit

1. Introduction

The macroeconomic situation of Albania in these recent years looks very different of that of other transitional
economies. The macroeconomic data shows that the economic growth of Albania (7.7 percent in 2008, 3.3
percent 2009, and 3.5 percent in 2010, forecasting 3.4 percent in 2011
1
) did resist the shocks waves of
global crises. On the other side the budget deficit from 5.7 percent of GDP in 2008 rose to 7 percent. This is
due to huge expenditures from state budget for investment in infrastructure and also electoral campaign. The
public debt is close to 60 percent of the GDP (59.5 percent of GDP). This data shows the risk of instability of
macroeconomic situation of Albania in the incoming years. The inflation rate is at the level of 3 percent, which
was also the target of the Bank of Albania
2
. It should be mentioned that these parameters will exclude
Albania from the countries which can profit in the future from the international loans with low interest rate.
In this circumstances one of the elements that should be analyzed is the way how to reduce this debt
and deficits and how should government generate the revenues is the best way possible. The mechanism of
generating the revenues for public sector is tax system. Coming to the tax system in Albania it is very hard to
evaluate the system because of many different factors as the level of development, tax administration
capacity and also its historical circumstances even though I will tend to make some outlines refereeing to the
fiscal system.
First I will go through a short overview of what tax system looks like in Albania. Providing this
background I will discuss the principal objective that Albania may attempt to achieve through tax policy. At
the end I will show briefly at the political economy context within tax policy and development issues must be
designed and implemented. I do not provide definitive answers to most of the question raised. My goal is just
to set out some of the basic issues facing tax policy in Albania and to outline some key elements to be
considered in designing the best tax structure for Albania at this present time.
Taxes are an important part of everyone life. In Albania everyone talks about them any times people try
to trick when they can. Taxes matter. Not only individuals but also the businesses are influenced by tax
1
Bank of Albania. (2008,2009) Annual Reports.
2
Bank of Albania. (2010) Annual Report.

372
system on the way how they organize their activities and in where they are carried out. The reaction between
individuals and businesses will then reflect to tax structure. At this point, knowing the mentality of both
individuals and administration, rises the fundamental question of the paper: how Albania may best design her
tax policy in order to achieve main objective of economic growth, given the complex economic and political
environment we are facing.
Albania had undergone some reforms on tax system which had an impact on some important indicators
related to tax system. One of these indicators is related to starting up business. Albania ranked 68
th
in 2009
and 46
th
in the 2010 out of 183 countries
3
.
I will be focusing more on practical issues rather than on theoretical issues. Practical tax policy can not
be immune of the influence of either ideas ore vested interests. Institutions also play an important role in
shaping tax in Albania. Tax design is not immune to the influence of either ideas or vested interests in any
country. But it is the idea of the whole society and not the individual interest that will better of or worse of the
economic situation
4
.

2. Actual Tax System

Albania uses flat rate tax for both consumption and income taxes. Even Albania is not pioneer of the flat rates
it should be considered that is applied the lowest rates in the region (of 20 percent and 10 percent
respectively). It did brought many benefits like the increase in foreign direct investment, reduction in tax
evasion, narrowing the informal economy and increasing the economic activity
5
. But very rarely is
emphasized the main argument for flat rates which is everyone should be equal in front of the law. This rates
reduces the changes for tax fraud, it increases the incentives for economic activities without any distortion.
All of this results in higher revenues, more savings and also more investment or more consumption.
Coming to the argument that this system punishes the poor people need to be analyzed in deep. The
problem here arises from the point that is no definitive definition on categorization of who is poor as who is
middle class. So before concluding to the punishment for poor people we need to make clear where the
burden ranges for each categorization. After defining this concept we should consider the case how to help
and not to grave the situation of poor people by different policies. One of these policies can be zero taxation
for the minimum income living.
Another con for flat rate is: removing the progressivity from tax system vanish the taxation redistribution.
However, empirical studies have shown that redistribution effect from tax system failed in many countries
which also apply the progressive taxation
6
.

3. How Tax System Should be Designed

One of the main functions of a tax system is to generate revenues in order to finance the public sector
activities. While evaluating decisions on tax system it should be considered some factors like the demand for
public services, the level of development and also the capacity to levy taxes effectively. Also the decisions
depends on the political environment, which means being less harmful from the political perspective.
Tax policy is not just calculating numbers. It reflects the political point of view about fairness and the
desire of government to stay in power. Despite the desire of what individuals want the tax system to be like a
3
World Bank. (2010) Annual Report.
4
Keynes, J.M. (1936) The General Theory of Employment, Interest, and Money. Maxmillan. London.
5
Mara, I.; Narazani, E.; Permeti, E. (2011) Did the flat tax reduce informal employment in Albania? CERGE-EI, Prague.
6
Chu, K., H. Davoodi, and S. Gupta .(2000) Income Distribution and Tax and Government Spending Policies in Developing Countries,
IMF Working Paper 00/62.

373
tax policy is limited on what that country can do. Fiscal policies should also consider the economic structure
of the country, its administrative capacity and the political context.
All around the world the tax policy, on average is like 20 percent of GDP. In 168 countries the tax is
around 18.8 percent of GDP
7
. The tax rations vary from 10 percent in some countries, mostly in Balkans and
East Europe to well over 40 percent in some other countries, mostly with high income. This does not exclude
that some countries with high income do not apply low rates and some other countries with low income do
not apply high rate of taxes. However, some low-income countries also had high ratios like Ukraine and some
high income countries, such as the USA apply lower tax rations.
Studies of Tanzi in 1987 divide the countries in three groups according to their GDP per capita. In the
same study it was found that there exists a trend that tax rates increases as GDP per capita increases. In the
low income group of countries, where Albania is part of, the tax ration varies from 17 percent to 22 percent.
Before 2005 the tax ratio of Albania used to be 58 percent on average (all tax included) and in last
years after 2007 it decreases to 35 percent. This ratio in western Balkans countries varies to 22 percent. On
of the factors that can explain this relationship is the demand for public services which rises faster than the
income in countries like Albania with low income. For example road infrastructure and the demand for public
services tend to increase as income increases. On the other hand the capacity of countries to collect taxes
increases as income level increases. This is meaningful only for poor countries. At some point the tax level
decreases and the relationship between these two elements vanishes. In low income courtiers not only the
income bases is important but also the institutional base has a great effect on the tax system. By institutional
base I refer to tax payers mentality including fiscal administration and also the trust that individuals have for
the government
8
.
The consumption tax, VAT, in Albania is 20 percent where in the countries around it varies from 15 to
25 percent, it used be in this rates from nearly two decades. Where as the income tax is 10 percent for both
personal revenues and corporate taxes. These two categories are relatively low with the countries on the
region but the gap is created from the tax of social contributions, which is 23 percent. Most of the taxes come
from taxes on imports. In small countries like Albania the trade tax are very important which account for a
high percentage of tax revenues. Albania raises more revenues at the border, where relatively few collection
points need to be controlled. For the same reason, we are more likely to rely more heavily on excise taxes.
Direct taxes like VAT require both a more effective tax administration and more sophisticated taxpayers.

4. How Should the Revenues be Generated

The importance of fiscal policy has changed during last years, especially for Balkans countries as they are
making kind of fiscal competition between each other. The tendency is to lower them as much as possible, in
order to attract foreign direct investment. This trend on one side brings positive results to individuals and
corporation but it causes a considerable gap in budget by increasing the deficit and the foreign debt. Even
Albania is in the limits of the foreign debt range it seems than in the coming years it will suffer of a higher
foreign debt.
It remains two options that can be used by government which is the increase of tax rates, politically very
difficult to be applied, and secondly it will decrease the public investment or government expenditure. The
government expenditure in Albania, referring to a country with small government is 32 percent of GDP. In
general, countries referred to as small countries, have and expenditure nearly 35 percent of GDP. So the
alternative to decrease the government expenditure for our country is already exhausted.

7
Fox, W. and T. Gurley .(2005) An Exploration of Tax Patterns around the World, (with Tami Gurley), Tax Notes International.
8
Bird, R.M., J. Martinez-Vazquez and B. Torgler. (2006) "Societal Institutions and Tax Effort in Developing Countries.

374
A tax system should generate revenues to fund projects government expenditure. As a general rule,
revenues increase should be nearly equal to the overall economic growth. The income elasticity of a tax
system measures how fast revenues grow relative to the economy. Elasticity is defined as the percentage
change in tax revenues divided by the percentage change in GDP. Elasticity equal to one, for example,
means that tax revenues will remain a constant share of GDP. Elasticity greater than one indicates that tax
revenues grow more rapidly than income. In principle, revenues should grow at the same rate as desired
expenditures. In other words, the income-elasticity for revenues and expenditures should be the same.
Albania has failed to achieve this target that is why it went through frequent tax reforms. In our country the
most elastic tax is the tax on consumption, even in general the personal income tax is the most elastic one. A
balanced set of tax instrument rather than a single revenue source will lower tax revenue volatility, just as an
individual can reduce the volatility of her investment portfolio by adopting a diversified investment strategy.

5. How Fair can be the System

Conceptions of fairness likely differ among members of a society. Traditionally, tax scholars have defined
fairness in terms of horizontal and vertical equity. Horizontal equity requires those in similar circumstances to
pay the same amount of taxes. Horizontal equity often embraces some notion of ability or capacity to pay.
Vertical equity requires appropriate differences among taxpayers in different economic circumstances. In
practice, however, neither concept is particularly helpful in determining appropriate tax policy.
Simply saying we should accord equal treatment to equals is useless. A detailed ethical framework is
needed to make comparisons, whether comparing equals or making appropriate comparisons among
unequals. Without such a fundamental framework one cannot evaluate the relative fairness of different
proposals or different tax regimes. In the end, all we can say about fairness is that every one is equal in front
of the law. This concept publicly accepted thought our society gives a simple and direct notion on
progressivity and proportional system of tax.
For example, some countries may wish to favor cities, others rural areas. Some may choose to favor rich
savers in the name of growth, others the poor in the name of redistribution. Like most policy instruments, tax
policy can play many tunes. What is critical from an equity perspective is, first, to be aware of the equity
implications of tax reforms for different groups and, second, to ensure that the actual outcome of such
reforms is consistent with the intended outcome. Attempts to redistribute income through taxation have
generally not been effective in most developing countries
9
.
It is often unclear who actually bears the economic costs of taxation. As economic conditions vary among
different countries, taxes that have the same legal incidence may have different economic incidence in
different countries
10
.

6. Redistribution Effects

Low income countries are generally less capable of using the tax system to redistribute income
11
. Income
and wealth taxes play a relatively small role in the tax structure of such countries as compared to developed
countries. The personal income tax is often merely a wage withholding tax. This tax is Albania is one percent
of the GDP. Nonetheless, income taxes have an important role in these countries. Even our sole objective is
9
Chu, K., H. Davoodi, and S. Gupta .(2000) Income Distribution and Tax and Government Spending Policies in Developing Countries,
10
Shah, A. and J. Whalley.(1990) Tax Incidence Analysis of Developing Countries: An Alternative View, World Bank Economic
Review.
11
Bird, R.M. and E. M. Zolt .(2005) Redistribution via Taxation: The Limited Role of the Personal Income Tax in Developing Countries,
UCLA Law Review.

375
economic growth, a clear case exists for taxing corporate income, if only to collect a fair share of the revenue
that multinational and large domestic businesses derive from economic activities in that country. This is the
case where the multinational companies have a rate of 10 percent of corporate tax as the ones which are
domestic companies, nut in our case the individual can not go and open its own business in the other
countries, this means that this actual policy hurts the Albanian businessmen and favors the foreigners. Since
corporations are the engine of development in all modern societies, a tax on corporations is in effect a tax on
the modern, growing sector of the economy. Albania needs to tax these corporations in order to ensure that
the ones who benefit more from the system to pay their fare share. On the other hand it should ensure
corporate taxes are not so high as to discourage growth. In general, even the best approach for countries is
thus to impose a moderate, stable tax on all corporations, probably at the same rate as a flat income tax (as
Albania already applies) it should be considered the option to impose on other forms of capital income
received by persons.
The most effective way to reduce inequality is not through taxation but rather through spending programs
targeted at the poor. Expenditures aimed at improving primary education or primary health services are likely
to prove more effective at reducing inequality than trying to change the tax system to tax the rich. The role of
the tax system in emerging countries is essentially to raise the revenue for such expenditure programs rather
than to play a substantial redistributive role in its own.
As I mentioned before an option that should be considered in Albania is the increase in the burden of
minimum living income that should not be taxed. Also in a longer period the option of poor families to be
taxed by consumption tax with a lower rate is an alternative of helping the category of people that lives with
minimum income.

7. Tax Administration

The best tax policy in the world is worth little if it cannot be implemented effectively
12
. Tax design in Albania
is strongly influenced by economic structure. Albania has a large traditional agricultural sector that is not
easily taxed. Also it has a significant informal economy that is largely outside the formal tax structure (even
the trend of shadow economy in Albania is decreasing). This means that the size of the untaxed economy is
in part a function of tax policy.
Three elements should be considered essential to effective tax administration in Albania: the political will
to administer the tax system effectively, a clear strategy for achieving this goal and adequate resources for
the task. It helps if the tax system is well designed and relatively simple, but even the best designed tax
system will not be properly implemented unless these three conditions are fulfilled. Except of the last one
having a simple tax system the other two seems missing in Albania. Most attention should be paid to the
resource problem like the need to have sufficient trained officials and adequate information technology. Also
strategy implementations should be part of the tax administration. All of this can not be achieved by a
sufficient political support; even the best strategy cannot be effectively implemented.
If the political would exist, the blueprint for effective tax administration is relatively straightforward. The
tax administration must be given an appropriate institutional form, which may mean a separate revenue
authority
13
. It must be adequately staffed with trained officials. It should be properly organized, which
generally means an organizational structure based on a function rather than on a tax by tax basis.
Computerization and appropriate use of modern information technology is important, but technology alone is
not sufficient and improvements must be carefully integrated into the tax administration.
12
Bird, R.M. 2004. Administrative Dimensions of Tax Reform, Asia-Pacific Tax Bulletin.
13
Taliercio, R. 2004. Designing Performance. World Bank Policy Research Working Paper No. 3423.

376
The modern approach to tax administration rests on treating the taxpayer as a client to be served and not
a thief to be caught. Unfortunately, the latter attitude seems to prevail in Albania. Of course, some taxpayers
are not honest, so a second important task of our tax administration is to reduce tax evasion. In addition to
undertaking the difficult tasks involved in extending the reach of the tax system into the informal economy to
the extent feasible, close attention must also be paid to such simple but often neglected tasks as ensuring
that those who are in the system file on time and pay the amounts due. In Albania the fiscal amnesty in the
last years has negatively influenced the mentality of tax payers. And it should be unacceptable as soon as
possible this kind of thinking.
Also adequate interest charges must be imposed on late payments to ensure that non-payment of taxes
does not become a cheap source of finance. Similarly, an adequate penalty structure is needed to ensure
that those who should register do so, that those who should file do so, and that those who under-report their
tax bases are sufficiently penalized to increase the costs of evading tax.
A third major task is keeping the tax administration honest. No government can expect taxpayers to
comply willingly if taxpayers believe the tax structure is unfair or the revenue collected is not effectively used.
But even a sound tax structure can be vitiated by a corrupt tax administration. Other developed countries
took centuries to develop and implement sound tax administration practices aimed at preventing dishonest
tax officials result succumbing to obvious temptations
14
. Corruption undermines confidence in the tax
system, negatively affects willingness to pay taxes, and reduces our capacity to finance government
expenditures.

8. Effects of Tax System on Growth

There is no magic tax strategy to encourage economic growth. Some countries with high tax burdens have
high growth rates and some countries with low tax burdens have low growth rates. Looking at the relationship
between growth rates and tax rates in the United States over the last 50 years reveals that the U.S. had its
greatest periods of economic growth during those years where the tax rates were the highest
15
.Of course,
this does not mean that high tax rates are the key to economic growth. The point is simply that the
relationship between taxes and growth is complex. The case of Albania in recent years is just the opposite
case of that of USA. By applying low rates of taxes, Albania become one of few countries in the Europe
which did had considerable economic growth given the world economic circumstances.
Albania has sought to improve its economy by introducing a variety of tax incentives (the lowers rate in
the region for both personal income and corporate taxes) for investment, for savings and for employment.
Even theoretically the incentives may be effective in inducing investors to behave differently than they would
have done in response to market signals, the result is often distorting and inefficient, diverting scarce
resources into less than optimal uses
16
, Albania case become a paradigm of this theory. But tax incentives
can not compensate for the absence of such critical factors as a sound macroeconomic policy, good
infrastructure and a stable governance system.

9. The Political Economy of Taxation

Albania relied heavily on taxes on international trade, but this tax base is becoming increasingly hard to tax in
the face of pressures for trade liberalization. Economic growth is often encouraged by, and results in, closer
involvement with the international economy, but globalization may also lead to fiscal problems. Policy
14
Webber, C. and A. Wildavsky. (1986) A History of Taxation and Expenditure in the Western World. New York.
15
Slemrod, J. and J. Bakija, (1996) Taxing Ourselves: A Citizens Guide to the Great Debate over Tax Reform. Cambridge,
Massachusetts.
16
McLure, C. (1999) Tax Holidays and Investment Incentives: A Comparative Analysis, Bulletin for International Fiscal Documentation.

377
makers of tax policy are facing difficulties on taxation. The problems are usually exacerbated by the political
economy context within which taxation must be designed and implemented. Tax policy decisions are not
made in a vacuum. Nor are they made by a disinterested benevolent government.
Policy reflects a set of complex social and political interactions between different groups in society in a
context established by history and state administrative capacity. Taxation is not simply a means of financing
government but one of the most visible parts of the social contract underlying the state.
The success of any tax reform thus largely depends upon the way in which different political groups perceive
the reform and how they react to their perception. To an important extent, then, tax reform is an exercise in
political legitimacy
17
. The bureaucracy, those who will have to implement the reform, must also support it, or
at least not actively oppose it.
Some see the inevitable political processes underlying reform as statist in the sense that the state can
be viewed as an institution in its own right that seeks to maintain and increase its capacity, including its
capacity to collect taxes. Others see acceptance of increased tax burdens as inextricably entwined with the
expansion of a more democratic polity and a more inclusive society. Whether one views tax policy from the
traditional public economics and administrative perspectives set out earlier or the more explicitly political
perspectives just mentioned, one conclusion is inescapable. Getting taxes right in low income countries is a
complex and difficult question. But given its impact on the wellbeing of people, it is important that we should
try to get it as right as they can.

10. Conclusions

As outcome of the paper I would like to say that Albania tax policy like many other transition economies still
needs intervention in order to get a better economic situation where both the economy can be encouraged
and the poor category of people be protected.
The flat rate taxes for multinational companies should be reconsidered as the Albanian businessmen still
do not have the right to set their business to other countries.
The rate of zero taxation should be applied to a higher limit of income in order to help the poor people.
The value added tax should be considered for the same category of poor people and families by applying
a different consumption tax. This different consumption tax can not be varied from good to good but from
family to family. Even it looks a good option we should keep in mind that still the tax administration is not in
the capacity of collecting the tax at the efficient level by this policy but it can applied in the later years to
come.
As a final conclusion I would like to say that Albania tax administration needs a long term strategy, which
of course, needs the political will of the parliament.

References

Bird, R.M. and E. M. Zolt .(2005) Redistribution via Taxation: The Limited Role of the Personal Income Tax in Developing Countries,
UCLA Law Review.
Bird, R.M.(2004) Administrative Dimensions of Tax Reform, Asia-Pacific Tax Bulletin.
Bird, R.M., J. Martinez-Vazquez and B. Torgler. (2006) "Societal Institutions and Tax Effort in Developing Countries.
Bank of Albania. (2008.2009) Annual Reports.
Bank of Albania. (2010) Annual Report.
Chu, K., H. Davoodi, and S. Gupta (2000) Income Distribution and Tax and Government Spending Policies in Developing Countries,
17
Lledo, V., A. Schneider, and M. Moore .(2003) A Critical Survey and Policy Recommendations, Institute of Development Studies,
University of Sussex.


378
Chu, K., H. Davoodi, and S. Gupta. (2000) Income Distribution and Tax and Government Spending Policies in Developing Countries,
Fiscal Policy and Economic Growth: Lessons for Eastern Europe and Central Asia.
Fox, W. and T. Gurley. (2005) An Exploration of Tax Patterns around the World, (with Tami Gurley), Tax Notes International.
Keynes, J.M. (1936) The General Theory of Employment, Interest, and Money. Maxmillan. London.
Mara, I.; Narazani, E.; Permeti, E. (2011) Did the flat tax reduce informal employment in Albania? CERGE-EI, Prague.
McLure, C. (1999) Tax Holidays and Investment Incentives: A Comparative Analysis, Bulletin for International Fiscal Documentation.
Slemrod, J. and J. Bakija, (1996) Taxing Ourselves: A Citizens Guide to the Great Debate over Tax Reform. Cambridge,
Massachusetts.
Shah, A. and J. Whalley.(1990) Tax Incidence Analysis of Developing Countries: An Alternative View, World Bank Economic Review.
Taliercio, R. (2004) Designing Performance. World Bank Policy Research Working Paper No. 3423.
World Bank. (2003) Tax Policy and Tax Administration. Report No. 26221-UA,
Webber, C. and A. Wildavsky. (1986) A History of Taxation and Expenditure in the Western World. New York.
World Bank. (2010) Annual Report.


379

An Investigation of the Severity, Causes, Impact and Actions
Against Counterfeiting and Smuggling in Nigeria

Omo Aregbeyen

Department of Economics, University of Ibadan, Ibadan
E-mail:omoareg@yahoo.com

Doi: 10.5901/mjss.2012.03.01.379

Abstract This paper provides evidence-based information through survey that counterfeiting and smuggling are severe
problems to the manufacturing sector and the economy of Nigeria and with significant negative effects. The several factors
facilitating the counterfeiting and smuggling activities and the subsisting initiatives against these illegal undertakings were
explored. A major reason uncovered why these initiatives have not been effective in curtailing the menace of counterfeiting and
smuggling is the lack of coordination among stakeholders. The paper therefore concludes that to make success of the fight
against counterfeiting and smuggling and their undesired effects on businesses and the economy requires an integrated
approach from stakeholders. Accordingly, a number of recommendations are proposed.

Key words: Counterfeiting, Smuggling, Manufactured Products, Initiatives, Nigeria

1. Introduction

Since the empirical works of Kuznet (1965), a large body of studies and existing theories of economic
development has ascribed great recognition to the strategic role of manufacturing in the economic
development process of any nation. According to Teriba and Kayode (1977), in the absence of a virile
manufacturing sector, a country is at the mercy of the primary exports-dominated sector characterized by
uncertain behavior-an uncertainty arising from the fact that the behavior of that sector is determined by
exogenous and stochastic factors like deterioration in terms of trade, low income elasticity of demand for
primary products and acts of God like drought. They therefore, submitted that exclusive reliance on the
expansion of the primary sector for engendering fast and sustained growth and development would be
difficult and, in fact, impossible. Indeed, the prevalent differentials in economic growth and development
status between the developed and developing countries are often attributed to the relative success or failure
in manufacturing development and scope. Manufacturing, which is the hub of industrial activities, creates
avenues for employment, helps to boost primary production, particularly agriculture, and makes for forward
and backward inter-sectoral linkages within the economy, and helps in diversifying the economy as well as
increasing its foreign exchange earnings, it also enables local labour to acquire skills, minimize the risk of
overdependence on foreign goods and facilitates the fullest exploitation and utilization of available resources.
In all these ways, manufacturing activities help to accelerate the process of economic growth and
development. The importance of manufacturing in the economic growth and development process of Nigeria
has long been recognized. And to realize the vast potentials which manufacturing activities hold for economic
growth/development in the country, attempts have been made by the government over time, to stimulate
manufacturing activities
1
. However, despite the catalogue of incentives, the manufacturing sector has failed
to meet the expectations of the Nigerian nation in its contributions to economic growth and development.
Rather than being a leading growth sector and a key factor in the socio-economic transformation, the sectors
performance has been poor and deteriorating over time (see Table 1).
1
See Aregbeyen (2004) for the chronological documentation of these incentives over time.

380
Table 1. Selected Indicators of the Manufacturing Sector Performance in Nigeria (1980-2009)

Year/
Indicators
Share in total
Employment
a

Share of GDP
b
Annual
Growth Rate
b

Share of
Total
Exports
b

Share of Total
Imports
b

Capacity
Utilization
b

1980 17.0 11.1 1.5 0.3 79.2 70.1
1985 18.2 8.6 19.8 0. 6 76.0 37.1
1990 10.0 8.1 7.6 0.2 87.9 40.3
1995 9.0 6.6 -5.5 0.3 81.6 29.1
2000 6.0 6.0 3.6 - 80.5 36.1
2005 6.0 3.8 9.6 9.8 32.1 54.8
2006 5.4 3.9 9.4 11.1 32.3 53.3
2007 5.0 4.0 9.6 10.3 32.8 53.5
2008 5.0 4.1 9.3 8.7 33.0 54.7
2009 5.0 4.2 7.9 19.8 31.9 55.0
Average 8.7 6.0 7.3 6.8 56.7 48.4

Source: a- National Bureau of Statistics, Annual Abstract of Statistics, Various Issues.
b- CBN Annual Reports, Various Issues.

In retrospect, the unimpressive contributions of the sector in various aspects despite the numerous incentives
can be traced to many factors. The major ones include the general poor state of the economy (particularly,
infrastructural deficiencies) engendered by prolonged maladministration of the economy by military rule,
political instability arising from frequent change of government, policy distortions and/or contradictions that
characterized most of the 1980s and 1990s,entrenched corruption in government, and the menace of
smuggling and counterfeiting. However, while most of the analyses of the poor performance of the
manufacturing sector in Nigeria have been done in the context of the several other factors that weve
mentioned, very limited attention has been paid to impact of smuggling and counterfeiting activities on the
sector. Yet these activities have been increasing in magnitude and scope over time in the country. Indeed,
counterfeiting and smuggling are twin global problems of enormous magnitude. Today no country, developed
or developing is immune from their menace. While precise global data is limited, all indications are that the
counterfeiting and smuggling activities have continued to grow. The growth of global trades in counterfeit and
smuggled goods has arisen alongside the rise of international trade over the last several decades (Grossman
and Shapiro, 1988; Kafchinski, 2009). Counterfeiting and smuggling have grown in scale because they offer
enormous profits and little risk for the criminal element of society.
Against this background, the organized Private Sector (OPS) in Nigeria conveyed a consultative forum
during which the activities/problems of counterfeiting and smuggling as a major challenge plaguing the
industrial sector of the economy was discussed and designated for (empirical) investigation. Consequently,
this study was conducted to provide evidence-based information on the problems of counterfeiting and
smuggling of products of the manufacturing sector of the Nigerian economy. Specifically, the study assessed
the severity of counterfeiting and smuggling of products in the manufacturing sector; identified the causes of
counterfeiting and smuggling in Nigeria; ascertained the effects of counterfeiting and smuggling on the firms
and the economy at large; took stock of firm-level and industry-level initiatives against counterfeiting and
smuggling; collate opinions on the adequacies of anti-counterfeiting and smuggling regulations in Nigeria;
and offered suggestions on actions for improving the fight against counterfeiting and smuggling in the
country.
The rest of the paper is organized into four sections. An overview of the relevant literature on
counterfeiting and smuggling is provided in section II. Section III describes the methodological approach to

381
the study, while the discussion of findings was done in section IV. The conclusion and recommendations of
the paper are contained in section V.

2. Overview of the Literature on Counterfeiting and Smuggling

By and large, counterfeiting and smuggling are twin phenomenon. This is because counterfeit products are
often smuggled, both to circumvent inspections and to evade import taxes. Similarly, smuggled products,
particularly famous brands are often the target of counterfeiting and counterfeiters. Jtte, (1994) describes
them as the oldest forms of deviance in society. According to historical records, from time immemorial,
individuals/groups of individuals have fob off imitations of valuables as the real the thing. But, the original
cottage/village industry nature of counterfeiting is no longer the norm. Similarly, the advent of mass
production capabilities and the expansion of trade across borders have further promoted smuggling.
Overtime, counterfeiters and smugglers have become more widespread, sophisticated and better organized.
Generally, the more famous or well known a brand is, and the more successful it is in the marketplace, the
more likely it is to be copied by counterfeiters. Nevertheless, the impact is not limited to large global brand-
owning companies. Small successful brands are also impacted.
Consequently, counterfeiting and smuggling have become global activities of enormous and increasing
magnitude. According to OECD (1998:3), no country either developed or developing is today immune to
counterfeiting and smuggling. Though there are definite hotspots, where production bases and distribution
networks are concentrated, the rise of globalized trade in counterfeits and smuggled goods is a growing
concern. Hence, the literature on these illegal activities is also burgeoning. This extant literature has primarily
focused on conceptualizing /defining these activities, identifying their causative factors, issues of their control
and their impacts. Accordingly, the next sub-section contains the review of the literature on counterfeiting and
smuggling, respectively.

2.1. Counterfeiting

The importance of conceptualizing/defining counterfeiting and smuggling is crucial both for understanding the
subject as well as in measuring the extent and nature of these problems. In practice, the boundaries of
counterfeiting are vague. What constitutes a counterfeit depends, on the one hand, on views about consumer
perceptions and, on the other, on the views of Intellectual Property (IP) enforcement agents namely the
police, customs and excise officials, trading standard officials that are charge with the responsibility for the
seizure of counterfeits.
A counterfeit, in general usage, is something that is forged, copied or imitated without the perpetrator
having the right to do it, and with the purpose of deceiving or defrauding. This therefore, implies that
counterfeiting is an infringement of the legal rights of an owner of intellectual property rights. Technically,
counterfeiting has been defined as manufacturing a product which so closely imitates the appearance of the
product of another to mislead a consumer that it is the product of another (OECD,1998:3). Beyond this
definition, the OECD also classified counterfeiting into two as deceptive (when both the counterfeit and the
original product appear very similar to deliberately mislead a consumer), and non-deceptive (where the
consumer recognizes that the product is not authentic and so pays an adjusted price for it). Correspondingly,
the agreement on Trade-related Aspects on Intellectual Property Rights (the TRIPs Agreement) defined
counterfeit trademark goods as any goods, including packaging, bearing without authorization a trademark
which is identical to the trademark validly registered in respect of such goods, or which cannot be
distinguished in its essential aspects from such a trademark, and which thereby infringes the rights of the
owner of the trademark in question under the law of the country of importation. From these definitions, ii
becomes obvious that counterfeiting can apply to both branded and generic products and counterfeit

382
products may include products with the correct ingredients or with the wrong ingredients, without active
ingredients, with insufficient active ingredients or with fake packaging.
Estimates of trade in counterfeit goods by (PHWC, 2003) is said to be worth more than 5 per cent of
world trade. A number of factors have been associated with this high trade volume in counterfeited goods.
These factors can be broadly categorized into four as legal, government regulatory and practical business
reasons. The legal reasons include lack of clear, established, respected and enforced rule of law, unclear
and piecemeal laws on counterfeiting leading to ad hoc enforcement and gaps that criminals exploit, and
none recognition of counterfeiting as a serious economic and social crime subject to serious penalties that
could serve as deterrent. The government regulatory slacks include laxity in the enforcement of rules, poor
inspection and control of the flow of counterfeit goods over national borders, high levels of internal and border
taxes on luxury goods, alcohol and tobacco that provide a major incentive for counterfeiting, and lack of anti-
counterfeiting enforcement specialists. Profit opportunity and a risk-to-reward balance that favors criminal
activity, low security features of firms products, the advancements in, and relatively inexpensive availability
of sophisticated photocopying and printing technologies and equipment that allow counterfeiters to create
labels and packaging nearly identical to the real product quickly and cheaply, attraction of unscrupulous and
unethical suppliers who have sold legitimate labels, packaging and other materials to counterfeiters, mass
production in factories (large and small) using increasingly more advanced production equipment that
facilitated the replication of the appearance of just about any product on the market, and increased
international trade, and emerging markets, among others without being exhaustive, constitute the practical
business reasons that facilitate counterfeiting.
Certainly counterfeiting is not a victimless crime. It poses serious consequences on all countries, whether
they are centers for counterfeit production or distribution, or on the receiving end of the fake product
distribution network. The many consequences include that: it discourages innovation and growth; reduces
employment through job cuts by the companies whose products are being counterfeited as a result of falls in
sales and profits, and job cuts by suppliers to, and other businesses reliant on, companies whose products
are being counterfeited as demand for their services declines; can reduce foreign direct investment (FDI) as
branded goods companies become reluctant to manufacture their products in countries where counterfeiting
is rife; damages sales volume, profits, brand value and capitalisation of rights owners, and can lead to
potential legal liability; can seriously affect health and safety of users; can negatively affect consumer
confidence; reduces tax revenues (corporate, income, consumption/value-added taxes,etc) to governments-
since very few counterfeit goods manufacturers pay any company/income taxes at all, it results in lower
national tax receipts which either leads to reductions in government spending or higher tax rates for
legitimate businesses (that are thus hit twice by counterfeiting); induce high costs on governments and
industry to combat counterfeiting; and encourages participation by organised crime and can be the cause of
corruption.
Available records on policy actions against counterfeiting indicate that most counterfeiting combat efforts
placed emphasis on Awareness and Enforcement. Awareness entails the launch of public awareness
campaigns for consumers, while enforcement incorporates both legislation and execution, in the form of
penalties. So far, anti-counterfeiting laws are not in place in many countries and where in place the penalties
imposed by most governments are mild or not tough enough to act as a deterrent. These slack in legislative
and punitive mechanisms have encouraged the rapid growth of large-scale manufacturing and distribution of
counterfeit products. In view of this, many severely affected countries are in recent times making concerted
efforts to improve and better enforce laws.
Furthermore, countries with a strong representation of trademark owners have established anti-
counterfeiting associations. These are membership organizations, whose main activities include promoting
adequate Intellectual Property Rights (IPR) protection, information gathering and liaison with enforcement
agencies. Some trade associations are also becoming very active in assisting their members to combat
counterfeiting. For example, in Ghana, business Coalition against Counterfeits and Illicit Trade (CACIT) was

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launched on the 18
th
July 2007 with membership spanning several stakeholders/bodies. CACIT seeks the
enforcement of intellectual property laws, copyright, patent, and trademark protection, and licensing laws in
order to protect consumers from counterfeit products and all other forms of illicit trade, thereby defending the
integrity of member organizations brands. The strategy for achieving these goals include working for the
enactment of tougher laws and the education of the business community, consumers, and the media and
interaction with authorities local and international to strengthen the enforcement of those laws governing
illicit trade in all its forms. There is also the effort among the East African Countries (EAC) comprising
Burundi, Kenya, Rwanda Tanzania, Uganda, and Zanxibar; beginning from 2008 to formulate an EAC policy
on anti-counterfeiting, anti-piracy and other intellectual property rights violations.
There have also been noticeable initiatives at the firm level. Most companies are making sure that their
trademarks are adequately protected and implementing anti-counterfeiting and anti-smuggling policies to deal
with the menace. A number of technologies, such as holograms, smart cards, biometric markers and inks,
are been employed to protect and authenticate genuine products. These devices vary considerably in the
degree of sophistication and cost. However, in order to be implemented the technology must be cost-
effective, compatible with the product and distribution chain, resistant and durable.

2.2 Smuggling

Like counterfeiting smuggling is an illegal method of conducting business. Deflem and Kelly, (2001)
described it as a clandestine activity which involves the importation and/or exportation of goods by wrong or
unlawful means with the objective of evading taxes and any other measures prohibiting or restricting the
importation or exportation of such goods. Several of the many and imaginative methods that have been
deployed by smugglers have included (i) outright avoidance of official Customs controls across the borders
(e.g. on lake, overland on road, rail, airport and often through the bush ways. This form of smuggling is
generally associated with highly marketable goods, goods of high tax value, and prohibited or restricted
goods); (ii) under declaration of goods(a circumstance where the importer declares less quantity on
importation documents than the actual goods being imported); (iii) under valuation of goods (whereby goods
are given a lower value than they actually have); (iv) mis-classification of Goods (whereby goods are
declared under a different class of imports particularly to attract lower rates of tax with intent to reduce the tax
liability); (v) falsification of documents(sometimes documents pertaining to certain goods are tampered with in
their particulars with intent to benefit the taxpayer by a reduction in tax); (vi) mis-declaration of country of
origin(when a different country is declared as the source of goods instead of the correct country of origin; (vii)
short landing transit and/or re-export goods(transit goods are those goods which are destined to other
countries through another country, re-exports are goods which come into the country but subsequently
exited. In both cases, smuggling occurs when the goods finally end up on the market in another country,
leading to total evasion of taxes and other controls; (viii) concealment (hiding the smuggled goods in another
product); (ix) quantity (premised on the tenet that if enough of a particular product is smuggled then
realistically some will get through); (x) bribery (get officials to turn the wrong way by paying them); (xi)
threats(get officials to turn the other way or else); (xii) subterfuge (bring the product in away from the eyes of
the officials); and (xii) cover (get someone, like a diplomat to bring the goods in under their own cover),
among others.
According to Norton (1988), the underlying cause of smuggling is rooted in differential tariffs or price
disparities between markets. In which case, smuggling is motivated by risk-taking strategies prompted by a
desire to avoid paying taxes or to make money from the sale of clandestinely imported goods. Sheikh (1989)
indicated that the many risks associated with smuggling are alluring due to the anticipated monetary gain.
Other fingered causes, which are considered largely secondary include porous border, poor inspection at
borders, corruption, presence of informal distribution networks, organized crime, and industry participation.

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The effects of smuggling are usually significant in an economy. The major impact often include (i) loss of
revenue (smuggling is an act of tax evasion which deprives government of revenue for public expenditure);
(ii) distortion of market prices (goods which are smuggled into the country are often sold a lot cheaper than
goods brought onto market through the right procedures, smuggling therefore deprives traders of free
competition); (ii) collapse of local industries (a country achieves better economic growth by developing its
own industrial base. Smuggling under-cuts prices of the locally manufactured goods thus destroying the
market for local products. This leads to collapse of local industries); (iv) unemployment (when there is unfair
competition in the market, compounded by the collapsing of industries, the labour market (employment base)
is eroded, thus professionals, skilled and unskilled personnel remain jobless); (v) undermine firms
investments (which are often substantial in developing well-managed distribution networks; smuggling also
corrodes market share and destroys the reputation and profitability of brands-amongst any company's most
important assets; and it also facilitates the equally damaging problem of counterfeiting).
To minimize the foregoing negative effects require very calculated and well targeted policy responses,
especially by the government. One major way by which government can address the causes of smuggling
going by indications from the literature is for the government to upscale its anti-smuggling drive so that
seizures can add to the cost of smuggling and thus render smuggling uncompetitive.

2.3 Summary of the Literature Review

From the foregoing review of the literature on counterfeiting and smuggling, a number of salient points can be
distilled. These points include that counterfeiting and smuggling are:
- mutually reinforcing illegal activities, from which no country is immune;
- significant and growing problems that have enormous negative economic and social effects;
- highly severe and that their severity are being aided by a number of factors;
- well organised activities and the actors are adept at establishing distribution channels, and this
encourages the participation of organised crime;
- infiltration of the legitimate supply lines, with increasing concern over their potentially harmful
effects on many products;
- of very damaging effects on consumers, rights holders, governments and the society at large; and
- better understood and dealt with by according them more priority, promoting greater co-operation
among stakeholders and improved information collection machinery.

3. Materials and Methods

3.1 Data Collection

The study utilized primary data sourced through survey of firms across some major industrial cities of the
country namely Abuja, Lagos, Ibadan, Kaduna and Kano. 25 firms were randomly sampled in each city. The
small sample size was informed primarily by funding. Information was also collected from key regulatory
agencies and institutions that were believed to be relevant to the study namely the Nigeria Customs Service,
Standards Organization of Nigeria (SON), National Agency for Food and Drug Administration and Control
(NAFDAC), and the Manufacturers Association of Nigeria (MAN). Data collection was done through
structured questionnaires validated by the key stakeholders.
The questionnaire for the firms has eight major sections. The eight sections in sequential order are firm
identification; severity of counterfeiting and smuggling problems; causes of counterfeiting and smuggling; the
effects of counterfeiting and smuggling; firm level initiatives against counterfeiting and smuggling; industry
level initiatives against counterfeiting and smuggling; counterfeiting and smuggling regulations; and
suggestions on solutions to the counterfeiting and smuggling problems.

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The questionnaires to SON and NAFDAC sought information essentially on the severity of counterfeiting
in Nigeria, firms conformity with General Manufacturing Practices (GMP), whether or not firms registered their
products and the extent to which they fulfill registration requirements, and their informed opinions on the
causes of counterfeiting and smuggling in Nigeria. Given her mandate, the questionnaire for the Nigeria
Customs Service focused only on the smuggling aspect of the study. The questionnaire sought for
information on the severity of smuggling in Nigeria, causes of smuggling, points and mode of smuggling in
Nigeria, the treatment of smugglers and Customs officers collaboration with smugglers. From MAN, we
sought for information on membership, members firms conformity with General Manufacturing Practices
(GMP), causes of counterfeiting and smuggling, anti-counterfeiting and smuggling initiatives of the
Association, and suggestions as well as possible ways to further prevent counterfeiting and smuggling in
Nigeria (see appendices II for these institutional questionnaires).

3.2 Method of Data Analysis

The data collected from firms and key regulatory agencies and institutions were collated, organized,
summarized and carefully analyzed using descriptive statistics.

4. Data Analysis/Findings

The analysis of data and reporting of findings done in this section covers those firms from which we were
able to retrieve the questionnaires administered on them. The questionnaires administered on the sampled
firms in Abuja could not be retrieved. Questionnaires were retrieved from 24, 10, 22, and 20 firms in Lagos,
Ibadan, Kaduna and Kano, respectively. This gives a total of seventy-six firms for the analysis. The
questionnaires administered to regulatory agencies and institutions were all retrieved. The analysis/report of
findings is presented under eight major sub-sections. Accordingly, Section 4.1 presents a brief profile of the
sampled firms. The severity of counterfeiting and smuggling problems are analyzed in 4.2.Section 4.3
assesses the effects of counterfeiting and smuggling on the sampled firms operations. This is followed in
section 4.4 by the analysis on the perceptions of the causes of counterfeiting and smuggling in Nigeria.
Section 4.5 discusses the initiatives against counterfeiting and smuggling. Issues in counterfeiting and
smuggling regulations in the country are examined in section 4.6

4.1 Profile of the Sampled Firms

Majority of the firms totaling 64 and representing about 84 percent of total sample are private firms. Four (4)
firms, two (2) each from Lagos and Kano, are publicly owned. The remaining 8 firms gave no response on
their firm type. On the nature of the firms, the Limited Company category dominates with a frequency count
of 58 out of 76. Next are the Limited Liability Companies with a count of 8. Sole Proprietorship comes next
with 4 and then Partnership with 3. The remaining 3 firms did not indicate the nature of their companies. All
the firms except three (3) are registered members of the Manufacturers Association of Nigeria (MAN). These
are spread across the 10 sectoral groupings of the MAN, however, with skewed distributions in favour of the
Chemicals & Pharmaceuticals, Textiles, Wearing Apparels, Carpet, Leather/Leather Footwear, and Domestic
& Industrial Plastic, Rubber and Foam in order of listing. One of the firms, by nature of its operations and
products falls into two sectoral groups.

4.2 Severity of Counterfeiting and Smuggling Problems

To establish the severity of counterfeiting and smuggling problems, firms were asked to indicate whether or
not their products are been counterfeited and smuggled into the country. In addition to this, on counterfeiting,

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both NAFDAC and SON were asked to provide information on the total number of seizures of broad
classification of manufactured goods (food and drugs by NAFDAC) between 2005 and 2009 as well as the
extent of conformity with the Good Manufacturing Practices (GMP) by firms in Nigeria. For smuggling, the
Customs was asked to provide information on the total number of seizures of broad classification of
manufactured products over the period 2005 and 2009, point and mode of smuggling into Nigeria, the
treatment of smugglers and opinion on the adequacy of the penalty for those arrested.
A total of 46 firms out of the 76 sampled firms; representing about 61 per cent, disclosed that they are
confronted with the problem of counterfeiting. For smuggling, 35 firms (representing about 46 per cent)
indicated being affected. Firms in the Chemicals and Pharmaceuticals group are the most affected by
counterfeiting followed by those of the Textiles, Wearing Apparels, Carpet, Leather/Footwear group. The
Textiles, Wearing Apparels, Carpet, Leather/Leather Footwear group is the most affected from smuggling
activities. 5 of the firms whose products have been counterfeited indicated that it started recently. Another 22
constituting the majority traced theirs to a while ago, while another 11 are of the opinion that their began long
time ago. The remaining 8 firms did not respond to the question.
For smuggling 4, 15 and 10 of the firms indicated that it began recently, a while ago and long time ago,
respectively. The remaining six firms have no memory of when it commenced. The rating of the extent of
products counterfeiting and smuggling was rated very high by 11 firms. 20 others considered it high; while it
is considered moderate by 6 firms. Only 3 firms reported a low extent. The remaining six firms gave no
response. For smuggling, 10, 14, 3, and 2 gave a rating of very high, high, moderate and low, respectively,
while 6 indicated no ratings. It is very instructive that majority of the firms have knowledge of the sources of
their product counterfeiting and smuggling. For counterfeiting, the sources mentioned include Asian
countries, particularly China, Niger, Cotonou, and within Nigeria. The main sources of smuggling identified
are Asian countries particularly China, Singapore, Hong Kong and India; Europe, mainly Turkey and Italy;
Middle East, chiefly Dubai; and Niger Republic and Cotonou.
Given that smuggling is usually a syndicated activity; the firms were asked if they are aware of the
financiers and backers in the country. While 21 firms representing about 28 per cent of total claimed they
know the financiers and backers of smuggling activities in the country, 35 constituting about 46 per cent of
the total denied having knowledge of who the financiers and backers are. A total of 20 firms (amounting to
about 26 per cent) avoided the question. Those who claimed they know the financiers and backers of
smuggling activities in the country mentioned customs officers and their cronies, politicians and their wives,
clearing agents and some influential individuals.
Evidences from NAFDAC also suggest that counterfeiting is severe in the country. NAFDAC identified
various forms of fake/counterfeit drugs, which include: drugs with no active ingredient(s); drugs with
insufficient active ingredients; drugs with active ingredient(s) different from what is stated on the packages;
clones of fast moving drugs -these are drugs with the same quantity of active ingredients as the genuine
original brand; drugs without full name and address of the manufacturer; herbal preparations that are toxic,
harmful, ineffective or mixed with orthodox medicine; expired drugs or drugs without expiry date, or expired
and re-labeled with the intention of extending their shelf-life; and drugs not certified and registered by
NAFDAC. Counterfeit products, (drugs, food, cosmetics, medical devices, chemicals, and water including all
drinks but mostly pharmaceuticals) valued at over N8.0b (US$60 million) were reportedly seized and
destroyed in Nigeria by NAFDAC between April 2001 and December 2004. And between 2005 and 2009, a
total of 218 of broad classifications of drugs were reportedly seized. The monetary values of these seizures
were not disclosed, but it is certain that they would be of significant monetary value.
NAFDAC noted that most of the fake/counterfeit drugs in Nigeria are imported from Asia, particularly India
and China. The problem is not much within the country because NAFDAC enforces the GMP compliance of
Local Manufacturers. Monitoring is done routinely and compliance directives are issued and enforced to the
letter when lapses are observed. Prosecution is carried out as a last resort when necessary. NAFDAC says it
now operates the policy of stopping the importation of counterfeit medicines to Nigeria at source. In doing

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this, the Agency has in place the following administrative guidelines: a factory must be GMP certified before it
can export drugs to Nigeria; NAFDAC officials must inspect factories anywhere in the world before we
register or renew registration for their drugs, foods and other regulated products; NAFDAC has appointed
analysts in India and China who re-certify any drug from the two countries before importation into Nigeria; for
drugs imported from any country, NAFDAC requires mandatory pre-shipment information to be provided by
all importers before the arrival of the drugs; through advocacy and collaboration, Nigerian banks have been
convinced to assist in the war against fake drugs. Since February 2003, the banks insist on NAFDAC
clearance before processing financial documents for drug importers. This agreement is now a government
policy because of its adoption by Central Bank of Nigeria.
Information on the severity of smuggling from the Nigerian Customs Service for the period 2005 to 2009
indicated that total seizures amounted to 3114 in 2005 but declined to 2913 in 2006. It then increased to
3778 in 2007, the highest over the five years period covered. It declined again to 2575 by 2008 and further
increase to 2895 in 2009. Total seizures over the five years period amounted to 15,275. The sectoral
distribution of the seizures show that seizures in Motor Vehicle & Miscellaneous Assembly accounted for
about 54 per cent of the total over the five years covered. The group of others comes next with (about 38 per
cent) followed by Textiles, Wearing Apparels, Carpet and Leather/Leather Footwear with about 7 per cent.
The insignificant share of the Food, Beverages & Tobacco and Chemicals & Pharmaceuticals sectors is
understandable given that they fall under the mandate and control of NAFDAC.
The monetary value of the 2005 seizures amounted to N 11.6 billion, while that of 2006 was N 7.6billion.
It amounted to N6.6billion, N4.3 billion and N5.3 billion for 2007, 2008 and 2009, respectively. The total value
of the seizures for the five years summed up to N35.4 billion. Disclosures on the point of smuggling and
seizures made by Nigeria Customs Service (NCS) revealed that most smuggling and seizures occur mainly
through seaports and other water ways. The second entry point of significance is through border areas (land
and creeks), and thirdly through airports. The modes and/or strategies often adopted by smugglers according
to the Customs include (i) bribery of the security agencies policing the roots and border areas, and (ii) use of
border communities other information sources to check when Customs operatives are not around or less
busy. The treatment meted to smugglers when caught basically involves prosecution after their goods are
seized. Some are made to face other penalties such as issuance of debit notes. In all, the maximum penalty
given to smugglers is imprisonment if found guilty.
From the above, it is evident that counterfeiting and smuggling are severe problems faced by the
manufacturing sector of the economy of Nigeria.

4.3 The Effects of Counterfeiting and Smuggling on the Firms

Attempt was made to assess the effects of counterfeiting and smuggling on the operations of sampled firms.
To accomplish this, firms were requested to provide information on how their firms have been affected by
counterfeiting and smuggling in a number of identified ways. These include sales loss, decline revenue,
reduced market share, employment loss, reduction in capacity utilization, and cost of protecting and enforcing
products trademarks. Only fifteen (15) firms responded to this enquiry. They all indicated that counterfeiting
and smuggling have affected their operations in all the ways indicated. Of these 15 firms, only 3 firms put
figures to the information. Given the magnitude of the figures indicated, it is evident that counterfeiting and
smuggling have significantly and negatively affected the operations of these firms and perhaps all other firms
confronting counterfeiting and smuggling problems. As a matter of fact, a firm reported that it is on the verge
of closing down.

4.4 Causes of Counterfeiting and Smuggling

The understanding of the causes of counterfeiting and smuggling is very fundamental to any attempt at
devising strategic responses to these problems. In the light of this, sampled firms and the regulatory

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agencies/ firm Association were asked to indicate their extent of agreement or disagreement to a number of
causes of counterfeiting and smuggling distilled from the literature. The level of agreement was done on a
scale from strongly agree to agree, undecided, disagree to strongly disagree. In collating the responses, only
factors in the agreed and strongly agreed categories were counted to be valid. The responses are discussed
in turn beginning with that of counterfeiting. Table 1 presents the sampled firms perceptions of causes of
counterfeiting.
As can be seen from the table, majority of firms affirmed that the suggested factors are causes of
counterfeiting except for high levels of internal and border taxes on luxury goods, alcohol and tobacco that
provide a major incentive for counterfeiting, and lack of anti-counterfeiting enforcement specialists. To the
extent that at least 50 per cent of firms affirmed mass production in factories large and small using
increasingly more advanced production equipment that facilitated the replication of the appearance of just
about any product on the market, and increased international trade, and emerging markets, we take it that
they are potent causes of counterfeiting.

Table 1. Perception of the Causes of Counterfeiting by Sampled Firms

S/N Perception of Causes/Location No
Firms
% of
Total
1 Low security features of firms products in Nigeria 47 62
2 The lucrative nature of the counterfeiting business 66 87
3 Lack of clear, established, respected and enforced rule of law 62 82
4 Laxity in the enforcement of rules, minimal penalties and punishment that provide
little or no deterrent. 66 87
5 Laws on counterfeiting are unclear and piecemeal, leading to ad hoc enforcement and
gaps that criminals exploit 57 75
6 None recognition of counterfeiting as a serious economic and social crime subject to
serious penalties that could serve as deterrent. 60 79
7 Poor inspection and control of the flow of counterfeit goods over the Nigerian borders. 60 79
8 High levels of internal and border taxes on luxury goods, alcohol and tobacco that
provide a major incentive for counterfeiting 31 41
9 Lack of Anti-counterfeiting enforcement specialists 22 29
10 The advancements in, and relatively inexpensive availability of sophisticated
photocopying and printing technologies and equipment that allow counterfeiters to
create labels and packaging nearly identical to the real product quickly and cheaply. 47 62
11 Attraction of unscrupulous and unethical suppliers who have sold legitimate labels,
packaging and other materials to counterfeiters. 53 70
12 Mass production in factories large and small using increasingly more advanced
production equipment that facilitated the replication of the appearance of just about
any product on the market. 39 51
13 Increased international trade, and emerging markets 38 50

Source: Field Survey, 2010

The expressed agreements with the suggested causes of counterfeiting differ among the trio of NAFDAC,
SON and MAN
2
. However, they all agreed that the lucrative nature of the counterfeiting business is a cause.
In a similar pattern, they all disagreed that lack of anti-counterfeiting enforcement specialists is a cause of
counterfeiting in the country.
2
Customs was excluded from this part of the analysis since it has no mandate related to checking counterfeiting.

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In addition to expressing their opinions with respect to the suggested causes of counterfeiting, the firms
and the regulatory agencies/ firms Association were also asked to identify causes of counterfeiting from their
point of view. The following were mentioned: (i) high cost of production and therefore non competitive
products prices (high cost of products); (ii) preference for cheaper product even at low quality; (iii)
unemployment; (iv) the get rich quick syndrome; (v) unmet demand for a market moving brand or product,
and (vi) inadequate supervision by regulatory bodies.
Coming to smuggling, a higher proportion of the firms endorsed each of the suggested causes except for
industry participation, for which only about 36 per cent of the firms assented to. In order of ranking, porous
border and corruption were recognized as the leading causes of smuggling. Poor inspection at borders
comes next and followed by tax levels, tax and price differentials. Organized crime as a cause of smuggling
was ranked 5
th
while the presence of informal distribution networks took the 6
th
position. The perceptions of
the regulatory agencies/firms Association also tallied with those of the firms. From NAFDAC and MAN, all
the suggested causes were endorsed except for industry participation. SON is of the opinion that poor
inspection at borders, corruption and industry participation are not causes of smuggling in Nigeria. For the
Nigeria Customs Service, all the suggested factors are valid.
In addition to the causes of smuggling suggested and to which we sought responses, the respondents
were also asked to indicate further causes of smuggling in the country. The following causes were
mentioned: (i) lack of political will; (ii) lack of good governance; (iii) cheaper products in other countries; (iv)
high cost of production in Nigeria/local products are more expensive; (v) high customs duties; (vi) prohibition
of imports; (vii) attempt to invade paying duties and taxes; (viii) the desire to gain commercial advantage over
fellow importers; (ix) as a means of avoiding processing of documents; (x) to avoid import and export permits
requirements; (xi) to avoid exchange control regulations; and (xii) money laundering.

4.5 Initiatives Against Counterfeiting and Smuggling

The discussion under this section is bifurcated. In the first part, we discussed the firm level initiatives against
counterfeiting and smuggling. The industry level initiatives are taken up in the second part.

4.5.1 Firm Level Initiatives against Counterfeiting and Smuggling

The attempt at uncovering or providing insights into the firm level initiatives against counterfeiting was hinged
on the premise that firms products should carry some security features no matter how little. Based on this
tenet, firms were asked to indicate if or not their products carry any security features to prevent counterfeiting
them. About half of the firms have their products carrying security features; while the products of about
another half carry no security features. 13 firms gave no response. It is interesting to know that 15 of the 46
firms (about 33 %) that indicated being confronted with counterfeiting have products carrying no security
features. The firms that indicated having their products carrying security features were further asked to
indicate the nature or type of security features that their products carry. The list of security features indicated
include: trade mark and packing materials, threading and batch numbering, embossment and labeling format,
different shade of colouring of packaging materials, temper proof logo and seal, customize packaging
materials, printing on products caps and inside of caps, logo and trademark, and NIS mark /number and
hologram.
The firms were further asked if they can easily distinguish their products from counterfeits. A total of 41
firms answered this question affirmatively. 17 others cant easily distinguish their products from counterfeits
while the remaining 18 firms did not respond. From the 41 firms that claimed they could easily distinguish
their products from the counterfeits, 10 have their products carrying no security features. There is doubt,
therefore, about their ability to easily distinguish their products from counterfeits. As such, the valid number of
firms that could easily distinguish their products from counterfeits is the 31 that have their products carrying

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some security features. These firms disclosed that they could differentiate their products from counterfeits in
the following ways: security features on the products; labeling, embossments; packaging and design; quality;
thickness; and weight and texture of products. Furthermore, the firms were asked about the last time they
changed their product design and/or packaging as a way of safeguarding their products from being easily
counterfeited. Only 26 firms reported to have changed their products design between 2002 and 2010.
Some of the measures that firms have taken in response to counterfeiting of their products were identified
to include market raids and seizures, litigation, advertisement/awareness campaign, protected labels,
specially designed packaging materials, improve quality of products, reduce the channel of distribution, wrote
complaints to relevant Ministries, Chinese embassy, Customs, MAN, NAFDAC etc. Other measures are
diversification, provision of technical assistance in carrying out enforcement to the regulators, being careful in
appointing distributors, regular change of product design and packaging, inscribe trade mark on products,
support different public institutions in building capacities in finding counterfeit products and supporting them
in enforcements, cut down the cost of production, searching for sources of counterfeiting, and ensuring that
product quality are of high standards.
To address the problem of smuggling, the affected firms reported that they have tried a number of
initiatives or measures largely similar to those under counterfeiting. These initiatives include product quality
enhancement beyond the smuggled ones, price reduction, market visitations, on the counter spot check,
prayers, making complaints to regulatory bodies, litigation, market raid and seizures,
advertisement/campaign for patronage of made in Nigeria products, use bodies like MAN, NACCIMA etc. for
advocacy, capacity expansion. They have also tried to get a law passed to ban the importation/smuggling of
products, liaising with SON, and writing complaints to China and Hong Kong embassies.

4.5.2 Industry Level Initiatives Against Counterfeiting and Smuggling

In order to determine how seriously the firms and their association takes the twin problems of counterfeiting
and smuggling, we sought information on what initiatives at the industry level are in place or being
contemplated to curtail the severity of these problems from MAN head office and the firms. The response
from MAN indicated that a system is being put in place to collect on regular basis information on illicit
manufacturing and seizures of counterfeits products and the extent of counterfeiting activities. The
Association reported that it had established a group known as the MANBRAND Protection Group to
enlighten the public from time to time on the dangers of patronizing counterfeit products. It was reported that
workshop on and/or against counterfeiting and smuggling was organized.
However, it was rather surprising that only a few of the sampled firms seems to have knowledge of the
existence of any of these industry level initiatives against counterfeiting and smuggling. In specific terms, only
17 out of the 76 firms, representing about 22 per cent claimed to have knowledge of any industry anti-
counterfeiting and anti-smuggling initiatives in place or being planned. Even among the 17, just three firms
could state (correctly) what these initiatives are. The remaining firms either out rightly declared lack of
knowledge or did not respond. It is not unlikely that those who declined to respond do not know as well.

4.6 Anti-Counterfeiting and Anti-Smuggling Regulations

The intent of this section is three fold. The first explored the level of awareness and knowledge of sampled
firms of existing laws, regulations and strategic actions against counterfeiting and smuggling in the country.
The second harvested the opinions of firms on the adequacy of these anti-counterfeiting and anti-smuggling
laws, regulations and strategic actions. The third elicited the opinions of firms on collusion of law enforcement
agents/agencies with counterfeiters and smugglers.
Beginning with the first of the intents, only 31 firms claimed awareness of any regulation against
counterfeiting and smuggling. A total of 26 firms have no awareness of any regulation against counterfeiting

391
and smuggling. The remaining 19 firms avoided this question. The high proportion of firms that do not know
about any regulation against counterfeiting and smuggling plus those that avoided the question; couple with
the earlier indication that many of the firms are also not in the knowledge of any industry level initiatives
against counterfeiting and smuggling all point to two possibilities. It is either they have not taken seriously the
problems of counterfeiting and smuggling as they ought to or the regulations are unclear and/or piecemeal in
nature.
Opinions of the 31 firms that are aware of existing regulations against counterfeiting and smuggling on
the adequacy of anti-counterfeiting and smuggling regulations measures in place in the country appear
similar. About 87 per cent of them consider the existing regulations inadequate. Only two (2) firms,
constituting about 6 per cent pronounced the regulations adequate. Two (2) other firms expressed no
opinions.
Lastly, the elicited opinions of the firms on whether or not law enforcement agents/agencies collude with
counterfeiters and smugglers was quite revealing. Majority of the firms (about 51 per cent) refused to express
their opinions. Of the 37 firms that responded, 10 (about 27 per cent) are of the opinion that the law
enforcement agents/agencies do not collude with counterfeiters and smugglers. However, the remaining 27,
the majority and constituting about 73 per cent believed that law enforcement agents/agencies collude with
counterfeiters and smugglers. Some of the ways through which the law enforcement agents/agencies collude
with counterfeiters and smugglers were identified. For smuggling, they include misclassification of goods and
escorting them when they smuggled, falsification of documents, and mis-declaration of country of origin. For
counterfeiting, offenders are either left of the hook or pay fewer fines than stipulated by law.

5. Summary, Conclusion and Policy Recommendations

This study has shown through evidence-based information that counterfeiting and smuggling are severe
problems to the manufacturing sector and the economy of Nigeria with significant negative effects.
Counterfeiting and smuggling have been allowed to foster by initial apathy on the part of businesses and the
industry, the absence of clear and enforceable legal and regulatory framework, ineffective enforcement of
regulations, and poor co-ordination amongst regulatory agencies among other. The conclusion from the study
therefore, is that to make success of the fight against counterfeiting and smuggling and their undesired
effects on businesses and the economy requires an integrated approach from stakeholders. In this regards,
the following recommendations are suggested: (i) government and business leaders need to establish the
fight against smuggling and counterfeiting as a priority, put more resources and enhance co-operation
towards finding solutions; (ii) consider having a clear counterfeiting & smuggling policy; (iii) improve co-
ordination amongst domestic agencies; (iv) have a clear and enforceable legal and regulatory framework with
stiffer penalties; (v) ensure effective enforcement; (vi) foster international co-operation, bilateral, plurilateral
and multilateral; (vii) increase awareness amongst government officials and consumers; (viii) enhance co-
operation with industry; and (ix) monitor progress through programme evaluation and measurement.

References

Aregbeyen,Omo. (2004). Growth and Profit Behaviour of Selected Manufacturing Firms in Nigeria. An unpublished Doctoral Thesis,
Department of Economics, University of Ibadan, Nigeria.
Deflem, Mathieu and Kelly Henry-Turner. (2001). Smuggling. Pp. 473-475 in the Encyclopedia of Criminology and Deviant Behavior,
Volume 2, Crime and Juvenile Delinquency, edited by David Luckenbill and Dennis L. Peck. Philadelphia, PA: Brunner-Routledge.
Gillespie K., and J.B. McBride. (1996). "Smuggling In Emerging Markets: Global Implications." Columbia Journal of World Business
31:40-54.
Grossman ,Gene M. and Shapiro, Carl. (1988). Foreign Counterfeiting of Status Goods, The Quarterly Journal of Economics, Vol. 103,
No. 1, pp. 79-100
Jtte, Robert. (1994). Poverty and Deviance in Early Modern Europe. Cambridge: Cambridge University Press.
Kafchinski ,Joe. (2009). Global Counterfeit Trade, Professor Shelley ITRN 701-009 May.

392
Kuznet S., Economic Growth and Structural Change, New York, 1965
Norton, Desmond A. G. (1988). "On the Economic Theory of Smuggling." Economica 55:107-118.
OECD.(1998). The Economic Impact of Counterfeiting. Paris: OECD.
Price Water House Coopers (PWHC). (2003). Counterfeiting and Smuggling in Lebanon: Sources, Impact and Suggested Solutions.
December.
Sheikh, Munir A. (1989). "A Theory of Risk, Smuggling and Welfare." World Development 17:1931-1944.
Teriba, O. and Kayode, M.O. (1977). Issues in Industrialisation in Industrial Development in Nigeria: Patterns, Problems and Prospects
(Teriba, O. and Kayode, M.O., eds.), Ibadan University Press, pp 3-10


393

Journalism in the 21
st
Century World Tackling Challenges

Abhijit Bora

Associate Professor & Head, Department t of Mass Communication & Journalism,
Tezpur University, Tezpur - 784028, Assam, India
Cell phone: ++91 +98640 72390, E- Mail: abhijitbora71@rediffmail.com, abhijitb@tezu.ernet.in

Doi: 10.5901/mjss.2012.03.01.393

Abstract With the advent of internet and digitized formats of communication, journalism has been going through a lot of
challenges over the last about one-and-a-half decade in an unprecedented situation in which the very concepts of the discipline
are undergoing lot of changes. The challenges are manifold - from citizen journalism to free flow of information and news
through the internet, emergence of social networking sites (SNSs) to a large extent are posing newer aspects in front of the field
of journalism. This paper would endeavour to examine how these developments are facilitating a better flow of information
dissemination to the masses and at the same time creating problems of ascertaining authenticity, journalistic practice without the
benefits of trained human resources. This analysis has been necessitated as the availability of so many virtual digital outlets
have facilitated a better flow of information making it highly difficult to hoodwink the masses by deliberately passing on wrong
information. Yet, this uncontrolled flow of information at the same time is also posing serious questions of finding out whether
the sources are reliable' or not. Also, how much filtering we need to carry out to find out what portion of the information available
from the blogs and SNSs are authentic and free from propaganda or personal opinion about an event. Further, this paper would
also like to analyze how much of the censorship restrictions in place in many developing nations' including India actually holds
good in today's media situation where practically everything is freely available through the virtual communication mode.,

Keywords: Information Revolution, Self-Regulation, Censorship, Mass Communication, SNSs, Citizen Journalism, Cyber
Media.

1. Introduction, The Information Revolution

In todays age it is needless to reiterate the significance of the saying that - information is power. It is the in
thing that empowers the people from kings to commoners alike and thereby converting them into thinking
human beings. So that it can effect a difference in their lives by acquiring and processing all information
available to him or her all around the environment.
And whenever this world has experienced revolutions in the field of information and its dissemination the
human civilization has also witnessed major developments as a result. In other words we can term this as a
series of information revolution since the mediaeval age which have brought in far-reaching changes to the
masses in each and every walk of life.
The first information revolution was initiated by the invention of the printing press by Johannes Gutenberg
in 1487 in Germany. This has ushered in the unprecedented advantage of making books available the
eternal source of knowledge to many hundreds and thousands of people. This convenient availability of this
source has created a situation in which masses also got ample opportunities to acquire knowledge which
made them knowledgeable and be able to lead a better life.
This was one of the most important causes behind the happening of the great Reformation movement led
by Martin Luther King which was an epoch-making revolution.
Then came the series of developments like the Radio, TV and in the latter part of the last century the
internet has assumed a similar role in empowering the masses by throwing open the floodgates of
knowledge for common consumption.
This is also nothing but a highly successful information revolution that has created a never-before
scenario of information dissemination that we could never even think of.

394
We also know how the internet has been instrumental in making the liberation struggle of the people in
Middle-East and Africa a big success in the recent times. At this point it would be pertinent to look at a few
questions concerning several important aspects related to this entire issue.
First of all in this tremendous free flow of information of all kinds among the masses how and where do
we keep a tab on the authenticity of the information being passed on or disseminated around through the net.
Also, how do we ascertain whether these information that we are consuming day in and day out are worth it
or not. This needs to be expressly tackled because circulation of specific information by people or groups
having vested interests in mind could cause major havoc in the society.
Media is a magic multiplier. We speak or write one thing and it is transmitted innumerable times to the
masses which do affect a lot of peoples intellectual capacity.
Secondly, it is highly interesting to note that more the number of outlets of information dissemination
more it is becoming quite difficult to disseminate information falsely to the masses anywhere across the
world.
Let me refer to the incident when a photograph of the Israeli bombings of Palestine a few years ago
published by a major daily in the United Kingdom supplied by Reuters had to be withdrawn when it was
pointed out by a blogger that the photograph was actually a doctored one. Even the freelance photojournalist
who clicked the photograph admitted that it was a common practice to touch up photographs to create a
better effect in the minds of the audiences.
Further, how can we be sure that these disseminators are conforming to the basic tenets of journalism
before disseminating information to the masses at all.
Many of you may remember that in November, 2008, several important landmarks in the city of Mumbai
Indias financial capital was taken to ransom by a few fanatic suicide attackers which was later countered by
military commando action. This entire development was captured by the electronic media in a minute-by-
minute detail outside the Taj hotel a prominent icon of the city.
In a way the commodity - information has become the liberating panacea of life, the equalizer of status for
everyone in any society across the globe and nations are going to great lengths to maintain networks of free
flow of information.
Many of you might definitely recall the immensely important role played by the network of community
radios in Nepal during the turmoil times after power was usurped by a kin of the then King who tried his best
to block all forms of communication with the outside the world even including the internet which of course
could not succeed only because of mass medias efforts.

2. Role of Gate-Keeping: Self-Regulation or External Imposition

At this we need to seriously look into what kind of gate-keeping role this system is actually performing at all.
At this point there also arises another very important question whether we need the services of gate-
keeping for dissemination of all of our information at all or not. This is because a gatekeeper is akin to that a
censor authority which is usually regarded as a nuisance to the globally-accepted norms of freedom of
expression.
In my country India there is a strange situation. That is we have a gatekeeper for films called the
Central Board of Film Censorship (CBFC) which is the body responsible for issuing certificates to feature
films for public viewing.
In case of news media there is no such restriction as such yet except that private FM radio services still
not allowed to air news and current affairs programmes produced independently.
Yet, there is no doubt that there is indeed en express need for self-regulation which only can inculcate a
good taste among the masses.
Let me recall another important incident that is an example of sheer negligence of ones responsibilities
while discharging ones duties in the field of media, more so in the world of journalism.

395
During the infamous India Pakistan conflict in the Kargil region of Jammu and Kashmir in 1999, a team of
journalists were taken to the field spot on the Indian side by the Defence Ministry officials for a better
coverage of the happenings. The scribes community was repeatedly requested specifically not to use
satellite or cell phones for calling back their offices for passing on the news. But a journalist from a
prominent TV news channel ignored this and used her satellite phone to call her office back in New Delhi and
report about the activities. The enemy forces managed to pick up the signals and almost in no time directed
their howitzer firing at that specific spot resulting in serious wounds to several of Indian Army personnel.
Another pertinent question is whether we would be content with an external regulator either a college
or a single person - keeping a tab on what we are doing and restricting our professional duties. Or we would
practice self-regulation in such a manner that there wont be any need for such an arrangement at all.
Media is like an elephant which is not much aware of its own enormous powers to influence public
opinion and the governments more so in developing nations and thereby suffer silently in the hands of
various stakeholders always working with a motive trying to manipulate the media in their own frame of
things.

3. Censorship: How Far and How Much

Talking of censorship of media it is quite strange how the Peoples Republic of China (PRC) has been
managing to go scot free in the international platform by curbing freedom of expression of both the media and
the common public. The system was in full swing just before and after the Beijing Olympics (2008) when the
country even blacked out internet sites as well as restricting the activity of the foreign journalists staying there
for coverage of the Games.
Interestingly, such an effort was further experienced even as late as in the third week of July, 2011, when
two bullet trains of the country collided with fatal casualty of more than 30 passengers and injuries to many
others. Soon after the mishap, PRCs Central Propaganda Department issued strict directives to the
journalistic community not to try to investigate into the causes of the mishap on their own but rather sticking
to whatever information the government was doling out. (The Telegraph, India, 2011).
The major theme for the Wenzhou bullet train case from now on will be known as in the face of great
tragedy, there is great love. Do not question, do not elaborate, the news report quoted this statement from
the department.
This is important to note that even in this advanced age of the 21
st
century there are societies and
countries around the world which still believe in such coercieve regimes trying to keep the freedom of
expression of the people at bay under any circumstances. But, why would somebody, specially a
government try to gag freedom of expression in any country unless there must be something fishy and there
is no transparency. This also leads to an ironical situation in which gate-keeping does not have any meaning
at all in this age of the internet as a means of information dissemination. Even if any country had any such
mechanism in place how much of it would actually be effective in reality.
In the Indian context the year 2010 was a watershed on a few major counts. First of all there was a
major allegation against the print journalism of the country that huge amounts of money changed hands to
the newspapers from the politicians and political parties for getting news items published favourable to a
particular election contesting candidate or maybe a political party itself during nation-wide polls to the state-
level assembly Houses or the parliament. The controversy gained such momentum that finally the Press
Council of India (PCI - a quasi-judicial body) had to institute a committee to investigate this and the
committee in its report acknowledged existence of such a nexus.
So, in addition to the commercial and technical challenges being faced, this is another aspect where
there is a huge challenge of rising above such a state while discharging their duties by the media in India.
Only when this would happen peoples faith in the media (specially news media) would be reverted back in
the near future.

396
For example, many of you may recall the incident in which there was major hue and cry from several
countries when a Danish newspaper published a cartoon showing Hazarat Mohammad in a lighter mood. A
huge public outcry spread across several nations of the world with a strong demand for intervention by the
government concerned against that specific daily.
However, the stand taken up by the Danish government was highly encouraging and motivating for those
in the media. The countrys premier had apologized to those concerned expressing regrets over the issue.
But, it was also said in no ambiguous terms that the country revered the media in high esteem and believed
that the media was matured enough to take its own decision and there could be absolutely no interference
with the latters freedom at all.
Another sensitive aspect that needs discussion here is sourcing of news or information from social
networking sites (SNSs) like Facebook, Twitter etc. Mr Rusbridger further opines that in this regard the
judgment of the journalists of a certain news media organization would make all the difference. He says that
these are also news sources like any other sources whereas these should not be taken as representatives of
the public at large. This is an interesting, extra dimension to information. We will use it as a source. It is an
imperfect source like all others, but a very useful source and journalistic tool. (2010).
In India also from time to time incidents happen which undermine the freedom of expression of the media.
About a decade ago, a new TV news channel Tehelka.com was launched with a big bang a nicely-
executed sting operation that exposed bribery charges for awarding of big ticket Defence contract deals by
the president of the party which was holding power at the Union Government. When it was done, after the
usual denials and other routine methods the government mounted pressure on the channel for changing its
version by registering almost a hundred different cases of violation of all possible legal provisions of
country. But the government failed to prove anything of substance in the courts of law and all those cases
had to be withdrawn with a lot of humiliation.

4. The Mobile Challenge

Outside of newspapers, there has been a real explosion in consumption of information, whether, it is mobile
phones or iPads. .. So, it is wrong for newspapers to imagine that what applies to everyone else does not
apply to us. There is an urgent message there, that we ought to be developing journalistic ideas that fit into
the mobile, said Mr Alan Rusbridger, Editor of The Guardian of London in an interview in the prominent daily
from India - The Hindu (2010). The prominent mediaperson believes that his organization has just started
thinking on the lines of how to look at what these incredible basic things of the mobile like location devices
can do for us. This is of special significance for India as the mobile phone subscribers base is about 700
million by now which is big enough a number to do business with by any news media outlet.
If we can combine meaningful information including news and disseminate the same through the mobile
or other communication modes this is going to usher in an unprecedented positive development in the days
to come.
Another very important aspect in this regard is how journalism is playing the role of being a leader of the
society. That is as we all know journalism is expected to play the role of an able leader of the society by
providing the right kind of information and news to the masses.

5. Relationship Between Journalism and Masses

In fact, the relationship between journalism and masses or its readership should be very complementary it
should be empowering for both the sides. Journalism is expected to create or inculcate a good taste among
the people about everything in life and thereby lead the audiences towards a better world. On the other hand
it is also the duty of the audiences to keep a check on the functioning of journalism and actively go for course
correction whenever needed.

397
Eminent New media researcher Dan Gilmore says that grassroots journalists are dismantling big medias
monopoly on the news, transforming it from a lecture to a conversation (Subramani, MW, p 43). He further
opines that the blog has been becoming the standard news medium of the world and the old media through
the new media, to we media, using the power and knowledge and the energy of people at the edges.
Today, the circumstances have transformed the situation to such an extent that blogging as well as SNSs
are also providing news and information to the masses at least to the participants and members of these
virtual communities whoever might be interested in it at all. The days of conventional newspapers seems to
be headed for a serious confrontation with the virtual ones.
With easy access to the technological tools at hand, an increasing number of people are starting to
demand themselves to be heard and be considered as a part of the news and information dissemination
system through the web.
And we all know that in mass media the switch is in our hands and the moment someone does not like
to listen to us or read us, he or she would switch it off. As this virtual media revolution is an inevitable part of
our life nowadays it would be better for the conventional news organizations to go by the saying if you cant
beat them, join them. It would be in their own interests that the newspapers should integrate to this new and
emerging phenomenon to keep their readership in good humour. Sooner the better.
Further, it is a greatly liberalizing aspect for all of us concerned newspapers and the readership. This is
because earlier everyone had to depend upon the journalistic skills of one or a few mediapersons for getting
to know the facts. While it was a highly centralized activity earlier, it has become a far more decentralized
one with so many possible participants in the process and thereby reducing the possibilities of follies in the
news services.

6. Social Responsibility Versus Corporate Social Responsibility

It hardly needs mention that today media has become a highly commercialized industry with everything
aimed at garnering profits rather than anything else.
The commercial endeavours have taken upper hand and thus media has acquired the status of an
industry. It has changed the very characteristics of media and medias function to mould public
opinion.(Ravi, p 28)
This aspect brings in an important side of the media in the developing nations like India where literacy
has been a major problem plaguing the country even today, after almost seven decades of Independence.
The official Indian literacy rate is 75 % according to the latest India census carried out this year out of the
total population of almost 110 crore. However, the official Indian definition of a literate person is someone
who can just sign his or her name nothing else. This means that in the practical sense, just about half of this
percentage in actually literate in the real sense of the term.
Further, even today more than 70 % of the Indian population live in some six lakh villages. Under these
two circumstances the media still has a sky high responsibility towards disseminating meaningful information
to these masses who are devoid of the benefits of formal or informal educational system.
This is one of the most important challenges of the media in the current century as a successful execution
of this activity would translate into an empowered nation in the near as well as distant future.
This is important because of the fact that mass media today wields enormous power over the masses
anywhere across the globe. They are increasingly playing the role once played by family, community, religion
and formal education. The media is also a key agenda setter. Television in particular has been acknowledged
as a powerful audio-visual medium which leaves long-lasting impressions on the minds of the public and is
therefore a powerful tool to shape public opinion. (Majumdar, 2011, AMITY page 59).
The challenge here is how to utilize this enormous power to reach out to the masses for passing on
meaningful information to the people at grassroots level.

398
Media is a highly prolific interdisciplinary social science. This means that each and every walk of our life
whether it is something trivial to something highly scholarly media is needed by everyone for making their
presence felt. In this regard it needs to be mentioned that our academic institutions, research institutions etc.
which are carrying out research and development works anywhere across the world are being able to acquire
a lot of knowledge and information which have vital significance for helping in the development of mankind.
Now, the challenge is how to carry these life-enhancing information-cum-knowledge to the masses who
should be the ultimate beneficiaries of such endeavours in any society. This is because unless such
knowledge are applied for the enhancement of human lifes development what is the use of keeping them in
laboratories. This challenge of becoming a suitable bridge between such storehouses of information and
knowledge and the masses is a highly skillful job.
So because the challenge also lies in looking for and acquiring such information, translating them to a
language understandable to the common people and presenting the same in an effective manner.
The modern day development of digitization of the information dissemination system has two sides to it.
First it is making the media somewhat sophisticated and thus seemingly out of reach for the masses at
grassroots level. However, as more and more governments and societies around the globe are trying to
expand the benefits of the broadband digital system network to reach out to the maximum number of
people, this acts as a liberating factor by becoming a catalyst of delivering such knowledge which in turn can
be utilized by the masses for improvement of their life under any circumstances.
Justice Markandey Katju, a senior and experienced Judge of the Supreme Court of India in a newspaper
article (The Hindu) in June this year expressed lot of expectations from the media in the country as
mentioned here. To my mind, the media in our country today must be able to help the people in their
struggle against poverty, unemployment and other social evils and to make India a modern, powerful,
industrial state, said the The Hindu editorial page article.
However, our question here is cant we think of such responsibilities of the media as something akin to
the Corporate Social Responsibility (CSR) aspect of the established commercial entities across the world. In
other words even if we consider media specially journalism as basically a commercial endeavour rather
than a social service yet, it is expected to escape from the CSR obligation which ties it up to the issue of
social developmental issues. This is because even out and out commercial ventures do have at least some
basic obligations for contributing to the society in kinds in addition to the responsibility of creating jobs and
opportunities. This aspect needs a thorough debate involving all the parties concerned.

7. Citizen Journalism

Mr Rusbridger (2010) is of the opinion that a far greater involvement of the readers is becoming extremely
important for the newspapers to see them through the troubled times of the present era. This is because
nowadays the readers have the facility to publish and link up. The realm of newspapers is shrinking and all
kinds of energy being created elsewhere and it is a life or death position for newspapers as to whether they
essentially ignore all that or redefine their role.
This is a foregone conclusion that the new media has already made its presence felt in a rather very
strong manner and is going to stay on track for the at least in the foreseeable future under any
circumstances.
Noted communication scholar and researcher Professor Clay Shirky (2011) is of the opinion that ever
since the rise of the internet in the early 1990s, the worlds networked population has grown from the low
millions to low billions and over the same time social media have become a fact of life for civil society
worldwide involving many stakeholders in the process from individuals to governments.
Professor Shirky (2011) claims that social media have become the coordinating tools for nearly all of the
worlds political movements at a time when the worlds authoritarian governments have been trying to limit
access to it. Even though the powers of the social media have been brought to limelight in the recent times

399
by the peoples uprisings in Egypt, Tunisia among others, the roots can be traced back even to the days of
impeachment trial of the Phillipines President Joseph Estrada in January, 2001.
So it is evident that the news media would definitely gain a lot of benefits from such a handy and
available source of information of any kind anywhere across the world.
Journalists believe that blogs are not significantly creating any impact on the mainstream journalism, but
they believe that blogs are complimenting the profession. This is clear indication of the gradual penetration of
the blogs in the mainstream media. Blogs are yet to reach the status of mass communication, but it is
considered as forms of communication. Blogs are changing the agenda-setting function of the media and it
has created notable changes in the process of communication and further we need to examine it,
(Subramani, 2010)
The entire system has also been contributing towards the convergence of all media into one highly
powerful integrated one capable of delivering the goods to the masses at their doorsteps. It would be a great
mistake if we ignored this phenomenon and try to carry out the old and conventional system without concern.
Mr N Ram, Editor of the prominent Indian daily The Hindu once opined that the conventional newspaper
in the Indian context was still safe to a big extent from the onslaught of the electronic media as majority of the
population were not media savvy because of various factors. However, this would not hold ground to a far
distance. This is because the Government of India has taken up several ambitious projects for providing
broadband net connectivity to most of the countrys villages across every nook and corner. Once this became
a reality an unlimited potential would be opened up for the media to deliver the news and other meaningful
information to the masses at the click of a mouse.
A combination of these two great forces with enormous powers would be able to achieve unlimited
success in reaching out to more and more masses anywhere across the world at nominal costs.
Another very important challenge for the news media whether in print or broadcast is how to maintain
its social responsibility status and public welfare goals despite the commercial onslaught day in and day out.
We can also see that all kinds of media specially the news media serving more and more commercial
interests rather than focusing basically on providing news to the masses. We also understand that it is the
commercial advertising revenue which keeps the media (news media included) going under any
circumstances. Yet, where to draw the demarcating line between pure entertainment and news. As this line
has been getting more and more blurred in the course of the functioning of the media in the name of survival
it is high time we took a decision about where the stop and recapitulate. This is because even the commercial
for profit enterprises have at least some basic amount of social and professional commitments to the society
to be fulfilled and carried out to the best of their knowledge and efforts.

8. Challenge from Cyber Media: Need to Converge

Now the question is how do we strike a balance between this kind of individualistic journalism practices in
comparison with the established proper format of journalistic practices with the conventional system.
Of course, there is a way out of this problem to a big extent. That is as most of the established news
media groups are finding it quite difficult to ignore the challenge of social networks and virtual communities
via the net, their kind of information dissemination is expected to conform to at least some basic amount of
journalistic principles rather than others.
As a whole there is a silent revolution in the world of 21
st
century. For instance, the highly interactive
convergence media is a major vehicle to transmit news and views. It has added new dimensions to the users
by placing within easy reach, a mind-boggling range of information. Today, the receiver is even the sender
and mass communicator. And as the numbers of people on it multiply, the opportunities are getting larger.
(Ravi, 2011)

400
It needs mention here that print journalism has been well adopting to this new situation of emerging
challenges over the years and we strongly believe that it would be successful in doing it without much of a
problem at all.
Then there is the important challenge of victimization of the mediapersons across many nations of the
world. Even in India a prominent crime beat reporter of a daily published from Mumbai was shot dead in
June, 2011 in broad daylight in the city allegedly by hitmen hired by mafia gangs with a remote control in a
foreign country. This incident comes a few months after a prominent journalist was gunned down in Pakistan
by unidentified killers.

9. Conclusion

Support FromAcademia And Society

This is a battle in which the journalists fraternity cant carry on their own and the society and the state must
shoulder at least some responsibility in this regard. Else, it would lead to a chaotic situation in which no good-
minded people would come forward to pursue this noble profession.
At this point the academic institutions offering courses in mass communication and media must also
contribute their portion to the society by providing quality training to more and more interested people so that
a trained manpower can be created over a period of time.
So because it is them to whom the society turns back always when faced with a crisis for solutions. Thus
they must live up to the expectations and play a pro-active role in advancing the cause of the society to the
greatest possible extent. They must also provide the right kind of leadership to the masses through the
media.
These are a few of the major challenges that the media in the current century has to confront with on the
road towards an all-round progress of all the stakeholders concerned the news media, the audiences or
readership, regulatory bodies among others. We strongly believe that despite all the roadblocks and hiccups
journalism would be able to raise itself much above the normal circumstances and thereby prove it worth in
the near as well as distant future.
Further, the relationship between the traditional or conventional news service system and the new media
must be developed to such a standard that both of them may become highly complimentary to each other. As
this phenomenon is becoming an integral part of our life we can ignore it only to our own detriment. And thus
we must devise the best possible way to integrate both these two so that the masses can acquire the best
possible advantage out of it.

References

The Telegraph (Calcutta, July 26, 2011, p 2). China tries to censor cause of train crash. News item in daily newspaper.
The Hindu (Chennai, October 6, 2010, p 14). Mobile phone can be a livelihood tool : UNCTAD. News item in daily newspaper.
Ravi, B.K. (2011). Dominance of Digital Media over Traditional Media : A critical study. Amity Journal of Media and Communication
Studies, Vol. 1, No. 1, p - 23-33, ISSN 2231-1033.
Subramani, R. (2010). Emergence of Blog impact on Mainstream Journalism. Media Watch (research and news feature journal in
journalism and mass communication). Vol. 1, no 2 (July-December, 2010). P 43.
Ravi, B.K. (2011). Dominance of Digital Media over Traditional Media : A critical study. Amity Journal of Media and Communication
Studies, Vol. 1, No. 1, p - 23-33, ISSN 2231-1033.
Majumdar, Pallavi. (2011). Media Regulation Vs Democratic Values in India. Amity Journal of Media and Communication Studies, Vol. 1,
No. 1, p 58 - 62, ISSN 2231-1033.
Katju, Markandey. (2011). Freedom of the press and journalistic ethics. Article published in Editorial page of The Hindu, Chennai, June
3, 2011, page 6).
Rusbridger, Alan. 92010). We are going through a profound revolution.
Interview published in Opposite-Editorial page of The Hindu, Chennai, September 20,2010, page 11).


401

An Assessment of the Effect of Remuneration on the Construction Performances of the
Professionals in the Nigerian Building Industry

J.A.B. Awolesi

Department of Quantity Surveying, Federal Polytechnic, Ilaro; Ogun State, Nigeria
Email: awolesibiodun@yahoo.co.uk Tel.: + 234 (0) 8033067045;

C.A. Ayedun

Department of Estate Management, Covenant University, Ota. Ogun State, Nigeria
Email: caayedun@yahoo.com Tel.: + 234 (0) 8033900681;

Doi: 10.5901/mjss.2012.03.01.401

Abstract Construction professionals are the authors on one hand and co-executors of construction projects on the other,
therefore, the quality of the services expected of them in construction project delivery as environmental resource manager is key.
This paper investigated whether quality of service of the construction professionals in Nigeria is influenced by the level of
professional fees receivable for services rendered hence their resource management role. The determinants of service quality
are identified and their means of evaluation examined using the SERVQUAL; instrument used for measurement of the service
quality on responses got from a set of questionnaires administered on the construction stakeholders comprising of the
construction clients on one hand and the construction professionals on the other hand in Lagos, Nigeria with a view to assessing
the perception of the clients regarding the quality of services being received from their construction professionals vis-a-vis
clients expectations. The study revealed that there was no significant relationship between the level of fees paid and the quality
of service rendered by the construction professionals as the result of the analysis of variance between service quality gap and
the various methods of fees paid is not reflected in the service quality of construction professionals.

Keywords: Construction Clients, Construction Professionals, Service Quality, Expectation, Perception, Satisfaction, Methods of
fee payment.

1. Introduction

Remuneration received for services rendered by construction professionals worldwide is the professional
fees and is normally paid based on the percentage of the total construction cost of the proposed project. In
most countries of the world including Nigeria, professional scale of fees are in use which are often put in
place by the governments of different countries to regulate the fees payable to the professionals in the
construction industry of such countries concerned.
It is believed that the level of services expected of each of the professionals on a project is represented
by the percentage of the total costs assigned as the appropriate fees capable of adequately remunerating the
professionals for the services rendered. A subset of this scale of fee is the time charges for additional
services to the core service and residency on projects. Negotiated fees is an unwritten document which forms
its basis from the mandatory fee scale where some aspect of professionals services are remunerated based
on negotiation of fees on mandatory scale regardless of the different professional bodies in the construction
industry insistence on non negotiation of professional fees.
To ensure that clients receive best value for their money, Compulsory Competitive Tendering (CCT)
was introduced by the UK government (being a major construction client) in 1983 whereby professionals are
pre-qualified for commissioning based on their design, cost, time and fee competition.
Higher Education Design Quality forum in their occasional paper No.2 The issue of Professional fees
April 1998; enquire into the relationship between professional fees and design quality and also outline basic

402
methods of using fees in consultant selection process. The paper points out that achieving a balance
between quality and cost has been explored by various bodies and the method with the interest backing is
that developed by the construction industry board following Latham Review. This paper also confirmed
Hoxley (1988) findings by recommending amongst others that selection on the basis of fee bids alone should
be avoided if quality and overall value for money are both required.
American Consulting Engineers Council (ACEC) (2002) noted in a publication titled Reality of Bidding
that bidding for projects is not the solution to the problem of quality of services by professionals but on
qualifications based selection (QBS) process which allows the owner to choose the service provider
determined to be most qualified by objective criteria, whereas selecting design professionals by low bid takes
this process out of the hands of the owner. Qualification Based Selection QBS has the advantages that:
(a) a well qualified firm is selected
(b) a scope of work satisfactory to both parties is negotiated
(c) a mutually agreed-upon price is paid for services (d) a team approach (partnership) between the
owner and consultant can be developed so that both parties have an interest in the project success.
It is therefore necessary to look at the mandatory scale of fees method of remunerating professionals in
Nigeria plus other methods like Negotiated Fee System or Lump Sum System and amongst other things
been able to:
1) Determine empirically whether mandatory fees are strictly followed for services rendered and to
highlight the service quality rendered.
2) Determine the rate of responsiveness (if any) of change of mandatory scale (via negotiation or
lump sum system) to service quality both from the service providers and the clients perspectives.
3) To determine whether the fees influence service quality at all hence affecting environmental
resource management.
Therefore, the need to identify the determinants of service quality and their means of evaluation examined
especially as they respond to fees paid becomes a paramount issue under this research. The predominant
amount of research on the empirical measurement of service management quality has taken place in non-
construction industries like retail stores, financial or investment brokerage services and health care.
Hoxley (1998) conducted research into quality of consultants services in construction area. This
research will also investigate the consultants service quality of professionals based in Lagos Nigeria, (being
the commercial capital of the country where most commissions are made) using the principles developed
within the context of construction and other industries by summarizing the nature of service and service
quality. Then the concept of service quality and the Gap model developed by Zeithanil et al (1988) will be
applied to help the consultants measure their service quality. The relationship of this gap with the level of
fees paid produces the result that the service quality is not influenced by the fees paid. Expected service
quality this is the standard of quality expected by the clients. This is dependent on the knowledge of the
client or his organization about the service.
a. Perceived service quality this is the assessment of the clients or consultants of what a particular
service delivered is.
According to Parasuranman et al (1990) service quality is assessed broadly on five major dimensions of
tangibles, reliability, responsiveness, assurance and empathy.
(i) Tangibles (ii) Responsiveness (iii) Assurance (iv) Empathy (v) Reliability

1.1 The Nature of Services

Services have been defined as an activity or series of activities of more or less intangible nature that normally
but not necessarily take place in interactions between the customer (client) and service employees and/or
physical resources or goods and / or systems of the service provider which are provided as solutions to
customer problems (Gronroos, 1984). The Gronroos (1984) also identified the qualities of services, which

403
differentiate it from products. These characteristics of services make it difficult to assess their quality as
compared to products.
The four common characteristics are:
i. Intangibility Services are activities or benefits that are essentially intangible, cannot be
prefabricated in advance and do not involve ownership or title. (York, 1993). Most services cannot
be counted, measured, inventoried, tested and verified in advance of sale to assure quality,
because of this intangibility, firms find it hard to understand how customers (clients) perceive their
services and evaluate service quality.
ii. Simultaneous Production and Consumption Service is simultaneously produced and
consumed while physical goods are first produced, then sold and finally consumed. The
inseparability forces the involvement of the customer in the production process. The quality of
service delivered depends therefore on the input of the customer (client).
iii. Perish ability this means that service cannot be produced in advance and later made available
for sale, they are performances that cannot be stored (Zeithanil, 1988). This feature makes it also
difficult to match supply with demand.
iv. Heterogeneity Manufactured goods are subject to strict quality control to ensure that a
homogeneous product is provided to customers. Services are obviously people dependent and
therefore difficult to standardize. Variations often occur in performance from producer to producer
and from customer to customer and from day to day. (Parasuraman et al 1985).
Parasuraman et al (1990), further adds, image, testability, uniqueness and peripheral as other qualities of
services.
Professions are occupations which are conducted within a self imposed ethical framework. Wilson,
(1984) describes the three stages of professional development as:
(a) Achievement of legal recognition.
(b) Adherence to a self imposed code of ethics.
(c) Recognition by society as a whole.
Carr-Saunders and Wilson (1964) suggested that professions are collections of technical experts with formal
association and that the development of all professions can be seen as an inevitable result of a historical
process: the meeting of like-minded people in social situations, the discussion of common problems, attempts
to resolve the problems ending with the formalization of these attempts and discussions into an
organizational framework.
There are however two critical aspects of professionalism the professional must be able to
demonstrate a knowledge and skill in his claimed area of competence and must be able to recognize the
limits of his skills and boundaries of his competence.
Root (1997) states two characteristics by which the professions of land, construction and property can
be identified as, a prolonged period of training or education to acquire a specific body of knowledge and
methodology to apply this knowledge to the ordinary business of life.
Walker (1989) believes that establishment of the construction professions has led to the protection of
their professions and created patterns of working that inhabited innovation. He believes there is evidence that
the barriers between the professions are being broken down as they seek to survive in an increasingly
complex and competitive society. This situation is replica of what takes place in Nigeria, where interview
conducted by researchers have shown that professional cross their defined boundary in other to stay ahead.
The aim of any business organization or occupation is to make profit, but Root (1997) asks if this aim is
different for the professionals and especially for the construction professions. He proffers answer by
accepting that at the most basic level, the primary purpose of any professional and indeed of any practice is
to make money. This reality does not make them different from other occupations.
Coxe (1987) identify a continuum with business-central professional firms at one end and practices
centered firms at the other, he further asserts that though every professional design firm combines both

404
aspects of business and practice, what the practice values of these two views dictates its place in the
continuum.
However, whichever value professional firm attaches to their ultimate goal, the professional is reminded
that his primary responsibility is to perform the service with reasonable skill, care and diligence.
Failure to meet this standard by omission or act is likely to be deemed professional negligence. McClure
(2002) reminds professionals that whatever situation he finds himself, integrity and trust should be the
watchword.

1.2 The Recognized Professionals Within the Nigerian Construction Industry

Federal Ministry of Works and Housing (1996) classified and identify the following professionals as those
recognized for remuneration in Nigeria.
(a) Architects : Governed by Nigerian Institute of Architects(N.I.A.) and regulated by Architects
Regulation Council of Nigeria (ARCON) with over 5000 members
(b) Engineers - (i) Civil Engineers(ii) Structural Engineers
(iii) Mechanical Engineers (iv) Electrical Engineers
(v) Other Engineers like Chemical, Electronic Governed by Nigerian society of
Engineers and regulated by Council for Registration of Engineers in Nigeria
(COREN) with over 10,000 members
(c) Quantity Surveyors : Governed by Nigerian Institute of Quantity Surveyors (NIQS) and regulated by
Quantity Surveyors Registration Board of Nigeria (QSRBN) with over 2000 members.
(d) Estate Surveyors and Valuers : Governed by Nigerian Institute of Estate Surveyors and Valuers
(NIESV) regulated by Estate Surveyors and Valuers Registration Board of Nigeria (ESVRBN) with
about 2000 members
(e) Land Surveyors: Governed by Nigeria institute of Surveyors (NIS) regulated by Surveyors Council
of Nigeria (SURCON) with about 2000 members.
(f) Town Planners : Governed by Nigerian Institute of Town Planners (NITP) regulated by Town
Planners Registration Council (TOPREC) with about 2000 members.
(g) Builders: Governed by Nigeria Institute of Building (NIOB) regulated by Council for registration of
Builders in Nigeria (CORBON) with about 2000 members.
Procuring construction professionals are by ( i) Direct appointment, traced to Paragraph 22 of Simon Report
(1944), where the direct appointment of the architect (who later appoint other professionals) depends on
recommendation by previous clients, experience of the clients on past jobs with the clients or via publications
brought to the attention of the client.(ii) Competitive Tendering which get the best out of the professionals
tendering for a proposed project stating their ability to deliver in terms of technical know-how, manpower and
equipments. In countries where the mandatory fee scale is the mode of remuneration, fees will not be a
criteria for selection.

1.3 The Role of Clients in the Service Process

The service delivery stage is of course critical to the successful outcome of a professional service. All
professional services involve an element of agreeing in the early stages what is to be provided and how this
will be achieved, the briefing process is a way of articulating the requirements of the client with the
consultants. According to the RIBA Plan of work (RIBA, 1967), briefing process is carried through the
inception to sketch design stages after which the brief is not to be unnecessarily altered. Communication is
an important aspect of the initial phase of any project and is crucial both to the clients and consultants, the
level of information received from clients depends on the type of clients.


405
1.4 Dimensions for Assessing Service Quality

Much of the service quality research is based on the five broad dimensions identified by Parasuraman et all
(1990) as depicted in Table 1 below which recognizes five broad dimensions of service quality that are
germane and applicable to any service organization.

Table 1. Service Quality Dimensions and their Definitions

Dimensions Definitions

Tangible

Physical facilities, equipment, appearance of personnel, Communication
material.
Reliability Ability to perform the promised service dependably and accurately.
Responsiveness The willingness to help customers and provide
prompt service.
Assurance The knowledge and courtesy of employees and their ability to inspire trust
and confidence
Empathy The caring individualized attention provided to customers.

Source: Parasuraman et al 1990, in Siu et al, 2001

1.5 Service Quality: Input, Process and Outcome

Groonrooss (1984) identifies two aspects of service quality as technical and functional quality. Technical
quality which is concerned with what the client receives i.e. the correctness of solutions, drawings,
specifications, functional quality involves such things like the accessibility and politeness of staff. Functional
quality is concerned with the process of service delivery.
According to Baker and Lamb (1993) in architectural design service quality, functional and process
factors were found to be important, while Hoxley (1994) discovered in his research into service quality among
building surveyors, that technical factors are considered more important by clients.

1.6 Service Quality Measurement Scale

The scales for measuring customer or client satisfaction has been based on different models. Among them is
the disconfirmation model, equity theory, performance or perception models and the cognitive/affection
theories. (Sui et all, 2001).
Much research in service quality measurement is based on the disconfirmation model. This model was
developed by Parasuraman et al (1985). It was developed and presented as a result of their exploratory
qualitative studies. They propose a model in which service quality perceived by customers is a function of
different gaps between expectations and performance. Perceived quality is therefore viewed as the degree
and direction of discrepancy between customers or perceptions and expectations (Parasuramam et al
1990).
With customers expectations being determined primarily by word-of-mouths communications, the
personal needs of the customers, the customers past experience of service providers and external
communications.
They identified ten major determinants of perceived service quality; reliability, responsiveness,
competence, access, courtesies, communication, credibility, security, understanding the customer and

406
tangibles. These ten determinants were analyzed using empirical data across a variety of industry settings,
these determinants were consolidated into their SERVQUAL instrument.
The SERVQUAL scale is based on the five dimensions of tangibles, reliability, responsiveness,
assurance and empathy. The scale has been used in measuring service quality in several service industries,
where it has been modified to suit the particular service setting.

2. The Study Area

According to US Census Bureau (2006), Lagos is the economic hub of Nigeria and the largest city in Africa
with a population of approximately 11 million (UN, World Bank and US Census Bureau estimates, 1999). It is
currently the 7th largest city in the world, and with current annual growth rates of about 6%-8% (i.e. up to
600,000 persons per annum or 1,644 people daily) it is projected to become the 3rd largest city in the world
by 2015 (US Census Bureau, 2006). It was the formal capital city of Nigeria before it was replaced by Abuja
on 12
th
December, 1991 but remains as the commercial and industrial nerve center of the country.
Lagos was originally founded as a trading port in 17th century by the Portuguese and became colonial
administrative headquarters of the newly formed Nigeria in 1914 and remained as capital even after
independence in (1960) and until 1991 when a new federal capital territory was built in Abuja. It is the
smallest of the administrative states in the country in terms of land area occupying only 3,577sq km of mostly
coastal plains. The state is surrounded by lagoons which make up about 22% of the states land mass.
Metropolitan Lagos itself accounts for only 37% of the states land area, but is occupied by more than 80% of
the states population, such that population densities in the state reaches up to 20,000 persons per sq km
(Lagos State Government, 2004). Figure 1 is the map of the state showing the component Local Government
Areas constituting the state. Lagos State has 16 Local Government Councils as shown in Figure 1 and 57
Local Government Development Areas.

Fig 1. Map of Metropolitan Lagos showing the Local Government Areas

Source: Lagos State Ministry of Information

The state has witnessed rapid construction demand for all types of construction de4velopments, especially
during the era of economic boom of the late 1970s up to 1980s. Thus the choice of the state as the study
area is necessitated by the level of construction works being carry out in the state and the fact that the bulk of
building construction professionals are found to congregate in the state. The fact that the construction

407
professionals converge in the state arises from the fact that the clients consisting of public and private are in
abundance in the state.

3. Data Collection and Research Methods

Primary data were collected through questionnaires distributed among various professionals involved in the
building industry (Quantity Surveyors, Electrical Engineers, Town Planners and Architects) on the one hand
the clients of these professionals represented by private corporate bodies, government and private individual
clients.
The questionnaires administered are in two sets of 50No.each, set (A) aimed at eliciting clients
expectations and perceptions set (B) to get the professionals perceptions of clients expectation and
perceptions of service quality. The clients and professional surveyed are all based in Lagos southwest
Nigeria. The clients groups surveyed are: Government, Private corporate and Private individuals in equal
proportion. The assessment covers diverse selection of construction professionals with minimum of five years
experience in equal percentage of the total practicing professionals in Nigeria.
For test of validity of the research instrument i.e. The questionnaires, is structured in reference to
SERVEQUAL instrument by Parasuraman et al for their service quality research work consisting of five
sections: -
Section 1: General information section where personal and organizational data are recorded.
Section 2: Perceptions section, which is aimed at getting the clients perceptions of service quality of the
service providers. The section comprised twenty-two statements related to one of the five major dimensions
of service quality namely: Tangibles, Reliability, Responsiveness, Assurance and Empathy. These
statements were presented on a Likert rating scale of 1 to 7 with terminal anchors of Strongly Disagree to
Strongly Agree.
Section 3: This section is in between perceptions and expectations section to assess the relative importance
of the five quality dimensions by weighing each dimension out of a total of 5 points.
Section 4: Expectations section which elicit the clients expectations of the services providers quality of
services. It also has twenty-two statements relating to the five major dimensions of service quality as
designed under section 2 above.
Section 5: Performance measurement of a specific project, where the degree of commitment of the
professionals is assessed in relation to the level of fees received for such projects.
This section is however an addition to the SERVQUAL instrument to achieve the test for the research
hypotheses on the side of the service provider on the side of the client the level of satisfaction is an addition.
The perceived service quality (SQ) is computed along the five dimensions by subtracting expectations scores
from perceptions scores giving an SQ score for each statements ranging between 6 and +6. Negative SQ
score is an indication that the level of the providers service quality is below customer expectation. While a
positive SQ score is an indication that the service provider is exceeding customers expectations in that
particular area.
The service quality gap (denoted as G) is the gap between expectations and perceptions. The
measurement of (G) requires a comparison of responses between these two sections of the questionnaires
and it is computed along the five dimensions by subtracting the clients expectation score from service
providers expectation score. A negative (G) score indicates underestimated expectation and a positive score
indicates overestimated expectation.
Descriptive and non-descriptive statistical tools were used and inferences drawn concerning the
significance or otherwise of the relationships between the variables of the study.


408
4. Data Analysis and Discussion

The response rate of 52% and 36% for construction professionals and clients were recorded in the study
which are considered satisfactory in view of the of reluctance often exercise by most professionals in the
construction industry in the country as well as the clients too. All the recognized construction professionals in
the country are duly considered and included in the study with the Quantity Surveyors having 38.46%
representation, Electrical Engineer, Town Planner and Architect having 3.85% representation respectively.
The majority of the responses from the clients came from the private corporate bodies (8 firms or 44.44%)
which was closely followed by government (33.33%) and private individual clients (22.22%).
The responses to statements for perceptions and expectation sections of the Professionals Questionnaire
(Form A) and the clients questionnaire (Form B) were grouped into five dimensions of a SERVQUAL.
The mean of the various scores recorded on the questionnaires are computed by averaging the
respondent scores for the five dimensions, these means are those shown in Table 2; Variance and Standard
Deviation of the expectation and perceptions for the five dimensions of service quality for both clients and
construction professionals. Evaluation of the perceived importance of the determinants of service quality is
shown in Table 3 below while the clients places more emphasis on Responsiveness or company willingness
to help customers and provide prompt service (29%), the construction professional prefers company ability to
perform the promised service dependably and accurately (25%)
The overall weighted SERVQUAL score taking into account the relative importance of the dimensions is
detailed in Table 4. This shows the overall expectation scores of the client group and the construction
professionals as 5.48 and 5.90 respectively. The overall perception scores of the client and professionals as
5.90 and 6.30 respectively.
Quality is a comparison between Expectation and performance therefore assessing the quality of service
(SQ) using SERVQUAL in computing the differences between the ratings customers assign to the paired
expectation/perception statements. Table 4.4 is an analysis of service quality which is calculated by
SERVQUAL score = Perception score Expectation score.

Table 2. Comparison of clients expectations and perceptions with service providers perceptions of
those expectations and perceptions.

Clients Construction Professionals

SERVQUALscore Mean Variance Standard Mean Variance Standard
Deviation n Deviation

Expectations
Tangibles 5.31 1.43 1.20 5.64 1.23 1.11
Reliability 5.31 1.55 1.25 5.75 1.18 1.09
Responsiveness 5.62 0.65 0.81 6.05 1.70 1.08
Assurance 5.61 1.32 1.15 6.15 1.26 1.12
Empathy 5.46 1.77 1.33 6.01 1.03 1.02
Overall 5.46 0.02 0.15 5.92 0.05 0.22
Perceptions
Tangibles 6.13 0.52 0.72 5.99 0.63 0.79
Reliability 6.44 0.09 0.30 6.29 0.34 0.59
Responsiveness 6.57 0.09 0.31 6.48 0.25 0.50
Assurance 6.49 0.24 0.49 6.43 0.29 0.54
Empathy 6.37 0.56 0.75 6.39 0.31 0.55
Overall 6.40 0.03 0.17 6.32 0.04 0.20


409
Table 3. Weighted expectation and perception scores for clients and service providers.

SERVQUAL score Clients Construction Professionals
Expectations
Tangibles 0.85 1.18
Reliability 1.06 1.44
Responsiveness 1.63 1.39
Assurance 1.18 1.11
Empathy 0.76 0.78
Overall 5.48 5.90
Perceptions
Tangibles 0.98 1.26
Reliability 1.29 1.57
Responsiveness 1.38 1.49
Assurance 1.36 1.15
Empathy 0.89 0.83
Overall 5.90 6.30

Table 4: Construction Professionals and Clients Main Considerations

Determinants of service quality Clients Professionals

The appearance of the companys 16% 21%
physical facilities, equipment and
personnel
The companys ability to perform the 20% 25%
promised service dependably and
accurately.
The companys willingness to help 29% 23%
customers and provide prompt service
The knowledge and courtesy of the 21% 18%
companys employees and their ability
to convey trust and confidence.
The caring, individualized attention the 14% 13%
Company provides its clients 100% 100%

Table 5: Analysis of Service Quality

Dimensions Perception Expectation SERVQUAL
mean mean

Unweighted
Tangibles 6.13 5.31 0.82
Reliability 6.44 5.31 1.13
Responsiveness 6.57 5.62 0.95
Assurance 6.49 5.61 0.88
Empathy 6.37 5.46 0.91
Overall 6.40 5.46 0.94
Weighted
Tangibles 0.98 0.85 0.13
Responsiveness 1.38 1.63 -0.25
Assurance 1.36 1.18 0.18
Empathy 0.89 0.76 0.13
Overall 5.90 5.48 0.42


410
Table 5 shows the weighted and unweighted SERVQUAL score for the group (same could be done for the
professionals). The discrepancy G between clients expectations and professionals perceptions of the
expectations is calculated as Gap Score = Professionals Perception of clients expectation Score Clients
expectation score

Table 6. Analysis of discrepancy between clients expectations and service providers perceptions of
clients expectations (weighted)

Dimensions Provider Client G
expectation expectation
mean mean

Tangibles 1.18 0.85 0.33
Responsiveness 1.39 1.63 -0.24
Assurance 1.11 1.18 -0.07
Empathy 0.78 0.76 0.02
Overall 5.90 5.48 0.42

Table 6 provides the weighted score of service quality gap G which captures the discrepancies between
clients and professionals on both expectations along the five dimensions of the relative importance of the
dimensions.

Table 7. Service Quality and Fees paid (Professional Perception and Clients Expectation)

Full Fees Neg. Fees % Fees Time Charges Total

1 2 3 4
Professional Perception
means (unweighted) 9 7 10 0 26
6.32
Clients Expectation
(unweighted) 5 9 2 2 18
5.46

Table 7 shows the matrix of the service quality (unweighted) with the level of fees or type of fees paid by the
client. The service quality means used to examine the relationship by analysis of variance (ANOVA) is that of
clients expectation and Professional Perception.

5. Interpretation, Discussion of Findings and Conclusion

The results of the survey shows that there are discrepancies in expectations and perceptions between
professionals and the clients. Both the client and the professionals have the perceptions of service quality to
be higher than expectations. The results also show that the levels of expectation from the professionals is
higher than those from the clients and the level of perceptions of the professionals lower than those from the
clients.

411
The client group rated Responsiveness as the most significant variable out of the five determinants of
the service quality (29%), the professional rated Reliability as the most significant (25%). Assurance and
Reliability are the next on the list of importance for the clients while Empathy and Tangible are of lesser
importance as depicted in Tables 3 and 4.
The professionals rated Responsiveness and Tangibles next in line of importance while Empathy and
Assurance are of lesser importance. It is noted that the professional weighted tangibles and reliability 5%
each above the clients group. Generally the result of overall service quality score is consistent with the level
of satisfaction. The overall service quality is 0.94 (unweighted) and 0.42 (weighted) which means that the
perception of service is higher than the clients expectation. However, all dimensions except reliability are
potentially close to clients expectations.
Table 5 reveals that the gap score between dimensions varies from 0.82 (tangibles) to 1.13 (Reliability).
The Reliability and Responsiveness recorded greater SQ scores. Reliability is directly affected by the
organizations resources base in terms of budgets and systems, while responsiveness is directly affected by
commitment and professionalism. However, the weighted scores for reliability and responsiveness are 0.23
and 0.25, therefore responsiveness is the most important dimension that providers should look into and
improve in order to meet the clients expectations since clients put substantial weighting on that dimension.
The table further shows that expectation for all dimensions and the result of analyses indicated that clients
expectations are generally low.
The Gap G is the discrepancy between the professionals perception of expectation, which indicates the
level of understanding and knowledge the professionals have about their clients expectation. The overall
service quality gap score indicate that the professional over estimate clients expectations. Theoretically, this
should result in a higher overall service quality but does not do all the time, as the positive gap score does
not imply that the service quality meets clients satisfaction.
Table 6 further shows that Responsiveness which is the most important dimension of service quality to
the client has a negative gap score of 0.24, this suggesting that the professional do not allocate their
resources effectively to meet clients requirements.
In summary, the study vividly revealed the following conclusions which are drawn from the findings and
which need to be given serious consideration by the stakeholders in the countrys construction industry:
(1) Satisfaction is widely viewed as involving both perceived quality and expectations.
(2) Service quality as viewed by most organization is just a support mechanism rather than a
competitive strategy.
(3) Construction professional over-estimate client expectations of quality of service to be provided.
(4) Generally, service performance of construction professionals is below clients expectation.
(5) Responsiveness is considered to be most important variable by the clients while Reliability is
favoured by the construction professionals.
(6) Service quality is not influenced by level of fees paid hence their role in environmental resource
management.

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Beneficial Application of Facilities Management In Hotel
Organizations in South-Western Nigeria

Olufemi Daniel Durodola
Caleb Abiodun Ayedun
Akinjare Omolade Adedoyin

Department of Estate Management, School of Environmental Sciences,
College of Science and Technology, Covenant University,Ota, Ogun State, Nigeria
E-mail: daniel.durodola@yahoo.com; caayedun@yahoo.com; omoladeogah@yahoo.co.uk

Doi: 10.5901/mjss.2012.03.01.413

Abstract A survey was conducted of probabilistically determined fifty-seven hotels of various stars in South-Western geo-
political zone of Nigeria to investigate the beneficial applications of Facilities Management (FM) in the hotel organizations. Data
were collected from hotel organizations through their general managers, staff and customers with the aid of questionnaires. A
combination of stratified and cluster sampling techniques were used. Kotharis formula was adopted to determine the appropriate
sample size while descriptive statistics, ranking and Spearman Correlation analysis were carried out. It was found that about
thirteen benefits were common to all the stakeholders (Hotel organizations, Facilities Managers and Customers) while additional
five benefits were just peculiar to the Facilities Managers and Customers only. Curiously, the flaunted benefit of FM as
instrument of strategic management by literature was not reckoned with, thus affirming that receptivity to FM is at low-ebb in the
hotel sector of Nigerias economy and a pointer to ignorance of FM as instrument of strategic change. The study recommended
that International Facilities Management Association (Nigeria Group), hotel organizations and Governments at all levels in
Nigeria should be conscious of this development and put in place strategic actions to market and educate the gentries on the
efficacy of FM in running hotel businesses.

Keywords: Facilities Management; Hotel; Strategic Management; Beneficial application

1. Introduction

An organization is composed of people, facilities and systems put in place to achieve specific objectives; one
of which is to render service(s) in pursuit of money or in fulfilling social obligations. The people, the facilities
and the systems interplay in order to achieve a set goal. The facilities are composed of buildings,
infrastructure and support services. The system is the inter-link or a web that binds people and facilities
together and turns them into a productive system. As a productive system, it is subject to wear and tear apart
from the fact that both facilities and the people respond to the dictates of life cycle.
Smith (2003) averred that facilities are another major cost centre and in most cases, the second largest
expenditure category regardless of whether space is owned or leased, ranking next to human resources.
Facilities are not necessarily confined to buildings but preferably considered as infrastructure that supports
people, either individually or collectively, to realize their goals. Facility Management is about empowering
people through provision of infrastructure that adds value to the processes they support. Facility managers
are charged with the responsibility of ensuring that infrastructure is available, operational, strategically
aligned, safe and sustainable. Above all, it encourages higher productivity through continual search for ways
to improve quality, reduce cost and minimize risk.
Thus, facilities have become dominant elements in organizational assets that cannot be dispensed with
and its sustenance has gone beyond maintenance management or property management due to the need to
meet the trinity of investment objectives which are to preserve capital, enhance its value, and earn net cash
profit on the capital invested (Durodola and Oloyede, 2011). The trend now is Facilities Management which

414
Spedding (1999) defined as the practice of coordinating the physical workplace with the people and work of
the organization, integrating the principles of business administration, architecture, behavioral and
engineering sciences.
Facilities Management is not completely new. From British perspective, it is an offspring of maintenance
management and property management whereas from the American perspective, Facilities Management
incorporates maintenance and property management and the specialties have expanded and broadened to
become an instrument of change. According to Owen (1995), Facilities Management became recognized as
an identifiable management concept in the United States at the start of the eighties and has been practiced in
the United Kingdom since 1983 with the main growth occurring in the nineties; all the functions, now
incorporated under the Facilities Management umbrella existed prior to the recognition of Facilities
Management. What Facilities Management has achieved, which is new, is the understanding that a
coordinated and integrated approach to a range of business activities adds value to an organizations
process. This is aptly captured by Alexander (1996) who defined Facilities Management as the process by
which an organization delivers and sustains support services in a quality environment to meet strategic
needs.
Facilities Management has come to be a profession in Europe and developed nations of the world
(Barrett, 2003). However, in Nigeria its practice is not sufficiently documented. There has been much
argument as to whether it should be a distinct professional calling. Some British trained real estate
practitioners do not see any difference between Facilities Management and Maintenance Management or
Property Management while others doubt the practicability of its principles being applied in business circles in
Nigeria (Ojo, 2002). European and American industrial and commercial organizations (including Hotels) have
adopted Facilities Management as a strategic management instrument to improve the performance of their
hotels (Telfer, 2005). Effective Facilities Management (FM) combines resources and activities to generate
work environment that is vital to the success of any organization. At a corporate level, it contributes to the
delivery of strategic and tactical objectives. On a day-to-day level, effective FM provides safe and efficient
working environment, which is essential to the performance of any establishment, whatever its size and
scope of works (Edum-Fotwe, Egbu and Gibb, 2003).
One major area of the Nigerian economy, which should attract investigation of beneficial application of
Facilities Management, is the Hotel and Hospitality industry. This industry is crucial to the growth and
development of tourism as a foreign exchange earner for many countries of the world, Nigeria inclusive. Hotel
organizations are not immune to the influences of the economic and business cycles, so the difficulties that
befall business in general during economic down-turns also affect hotel organizations (Rutherford, 2002).
Downsizing, re-engineering, facilities management and strategic estate management are some of the
strategic tools being used to describe the changes that occur amongst the hotel companies (Rutherford,
2002). The acclaimed benefits of Facilities Management in turning the fortune of organizations around for
better appear to be generic, pedagogic, pervasive and non-specific to any individual sector of the economy.
Opaluwah (2005), Adewunmi and Ogunba (2006), Durodola, Ajayi and Oloyede (2011) asserted that
the responsiveness of the Nigerian society to Facilities Management is extremely low particularly within the
Hotel sector.
Suffice therefore to ask: could this attitudinal disposition to adoption of holistic FM be due to ignorance
or non-elaboration of its benefits? It is against this background that this research aims to examine beneficial
application of facilities management in the running of hotel organizations in south-western Nigeria. In order to
achieve the aim, the paper is structured into five major segments namely introduction, literature review, the
research method, analysis and discussion and finally conclusion and recommendations.


Spedding (1999), concurred with International Facilities Management Association (IFMA) definition of FM in

415
its early days as: - the practice of coordinating the physical workplace with the people and work of the
organization, integrating the principles of business administration, architecture and behavioral and
engineering sciences. This definition focuses on unity in diversity that must necessarily be a concern to
organizations. However, the real business area of FM was not highlighted which include space management
and support service management among others.
Apart from Spedding (1999) and IFMAs concept of FM, there are other variances of FM definitions.
This was corroborated by the Royal Institution of Chartered Surveyors (RICS) Research Report of 1999
which highlighted such definitions. Becker (1999) [In Cowan (2001)] defined facilities management as being
responsible for co-ordinating all efforts relating to planning, designing and managing buildings and their
systems, equipment and furniture to enhance the organizations ability to compete in a rapidly changing
world. This definition focuses on building and tries to make FM wider than necessary; although it could be
compared with RICS definition, which regards it as the total management of all services that support the
core business of an organization.
A more detailed definition is offered by Engineering News-Record of April 4
th
, 1985 (In Hamer, 1988) as
the discipline of planning, designing, constructing and managing space in every type of structure from
office buildings to process plants. It involves developing corporate facilities policy, long-range forecasts, real
estate, space inventories, and projects through design, construction and renovation, building operation and
maintenance plans and furniture and equipment inventories. This definition emphasizes space management,
which was missing in IFMAs definition but ignored FM as one of the strategic tools that could be used in
turning a company around. Jim Steinmann ( In Hamer, 1988) opined that Facilities Management is the
systematic approach to inventorying, planning, designing and maintaining space, equipment and furniture for
general or special purpose facilities that are flexible to accommodate change. This definition added space
inventory and recognition of FM as an instrument to sustain change programme of an organization.
Alexander (1996) defines facilities management as the process by which an organization ensures that
its buildings, systems and services support core operations and processes as well as contribute to achieving
its strategic objectives in changing conditions. It focuses on meeting users needs to support key role of
people in organizations and strives to continuously improve quality, reduce risks and ensure value for money.
It is clearly an important management function and business service. Major organizations worldwide use it as
part of their strategy for restructuring to provide competitive edge. It also ensures that buildings and support
services improve customer responsiveness and contribute to business objectives. Alexander (1996)
emphasized the fact that facilities management is purely an instrument to support the core business of an
organization with the aim of making it more efficient and more productive.
Regterschot (1988) (In Udo, 1998) described facilities management as the integral management
(planning and monitoring) and realization of housing, services and means that must contribute to an effective,
flexible and creative realization of an organizations objectives in an ever changing environment.
Furthermore it is an instrument for accounting for available space and services with the aim of reducing cost
and increasing profit. Hamer (1988) described FM as the process of planning, implementing, maintaining
and accounting for appropriate physical spaces and services for an organization, while simultaneously
seeking to reduce the associated total cost. This definition introduced workplace as an instrument of
strategic management, and considered it as an instrument for accounting for available space and services
with the aim of reducing cost and improving profit. From the total quality point of view, FM is the process by
which an organization delivers and sustains support services in a quality environment to meet strategic needs
(Alexander, 1996). This definition is in tandem with total quality managements definition of service to the
client from the perspective of the customers, employees, suppliers, investors or a community.
A recent attempt by Tay and Ooi (2001) (In Brochner, 2003), to harmonize eight current and influential
definitions of FM led to the identification of Facilities Management as the integrated management of the
workplace to enhance the performance of the organization. According to the study, Facilities Managers are
responsible for ensuring cost efficient management of the building and related facilities, and creating an

416
environment that supports the activities of the building users, and their experience and knowledge would
provide vital background to building related decisions. Maas and Pleunis (2001) (In Hassanien and Losekoot,
2002) sees FM as the responsibility for co-ordinating efforts to ensure that buildings, technology, furniture
and organizational trends are responded to, over time.Furthermore, Barett (1995) defines FM as an
integrated approach to operating, maintaining, improving, and adopting the buildings and infrastructure of an
organization in order to create an environment that strongly supports the primary objectives of that
organization. However, neither definition refers to the process or activities, which are associated with
facilities management. Also, they do not stress the positive contributions which well-managed facilities could
make to an organization. It may therefore be deduced from the definitions that as many practitioners of FM as
are available so are the scope and concept of FM. The varied definitions of FM implies that it is an evolving
field whose nature is still somewhat fluid and thus portraying it as an all embracing and evocative tool that
should normally be an aspect of the organization organogram of any going concern. Apart from this, it serves
as a strategic tool deployable to reversing the downward trend of any ailing organization.
Thus, facilities management is an instrument of strategic change which in hotel circles is called re-
engineering. Hammer and Campy (1993) (In Nebel, Rutherford and Schaffer, 2002) defined re-engineering
as the fundamental rethinking and radical redesign of business processes to achieve dramatic
improvements in critical, contemporary measures of performance, such as cost, quality, service and speed.
How committed is the organization to this re-engineering? The four fundamental steps that are
instrumental to re-engineering hotel operations according to Furey (1993) (In Nebel, Rutherford and Schaffer,
2002) involve identifying process objectives from customers perspective; understanding existing process;
benchmarking; re-engineering the process and implementing the new process. There must be radical
departure from the past and aggressive commitment to improvement, new ways of doing things and
innovation. Thus, there must be differentiation and focus, adoption of on-going style, provision of a role
model, wooing of the customers and re-assurance as far as support services are concerned in hotel
business. Table 1 shows the features of a re-engineered hotel and the benefits of re-engineering.

Table 1. Features of Reengineered Hotel and Benefits of Reengineering.

Features of Re-engineered Hotel Benefits of Re-engineering
- Fundamental work units change from
functional, task-driven departments to process
teams.
- Organizational structures change from
hierarchical (pyramids) to flat.
- Jobs within process teams become
multidimensional.
- Workers become empowered to make
decisions
- Job preparation shifts from training to
education.
- Performance is measured by results that are
customer-based rather than task-oriented
- Executives change from checkers and
arbitrators to leaders and facilitators
- Advancement is based on ability rather than
on past performance.
- Employees and departments become less
protective of their turf and more productive.
- Employees are organized into teams where the work
focuses exclusively on customer-driven outcomes
- Team performance is measured by customer-based criteria.
- Teams are able to coordinate their activities without the
need for outside intervention
- Decisions are made where the work is being performed
- Executives become facilitators and leaders rather than
checkers and arbitrators.
- Dramatic improvements in output measures are possible,
whereas traditional approaches after, at best, incremental
gains.

Source: Nebel, Rutherford and Schaffer (2002: 63)

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Okoroh, Jones and Ilozor (2003) dwelt on adding value to constructed facilities with emphasis on the
hospitality industry with the aim of examining the impact of service contact on the perceived quality and
nature of the accommodation package using survey questionnaire for data gathering and the personal
construct theory for the analysis of the generated data. In their own opinion, a very large proportion of the
product relates to the management of the core activities that center on built facilities. There is a need for life
cycle planning of these facilities, their capacity, use and proactive maintenance policy, as well as the
resources needed to cope with changing demands. Factors such as life cycle costing, productivity,
performance values, and legislative change drive facilities management. In conclusion they opined that given
the nature, characteristics, variety of components, and related economic aspects of hotels, it seems that
there are benefits to be derived from the application of FM in hotel businesses. For instance, owners/owner
managers in the sector and the location studied, who are more proactive in the management of their
constructed facilities, achieved higher occupancy rates, profitability and repeat business. Proactive
management becomes essential when it is realized that service products essentially propel hotel products.
Thus, hotel accommodation package to be effective and satisfy customer needs must be accompanied by
intangible services such as security and feeling of well-being.
From the definitions and for the purpose of this study, FM is construed to be a strategic management tool
that seeks to exploit the dichotomy between workplace, people and the work of the organization by turning
potentiality to reality through proactive management.

3. Research Method

An exploratory cross-sectional survey approach devoid of control and involving one-time observation of
independent and non-manipulated variables was adopted in the study, which covers the South-Western geo-
political zone of Nigeria. The zone consists of six States namely Lagos, Ekiti, Ogun, Oyo, Osun and Ondo
with their capital city as Ikeja, Ado-Ekiti, Abeokuta, Ibadan, Oshogbo and Akure respectively as shown in
Fig.1. The six States are contiguous and possess similar attributes that allowed easy comparability, improved
homogeneity of the population and reduced the sampling errors.
In taking samples of the hotel, consideration was given to those that meet the National Classification and
Grading of Hotels standard in consonance with the policy of Nigeria Tourism Development Corporation
(2001). There are one hundred and eighty-two hotels out of which Ekiti accounted for 35 (19%), Lagos 42
(23%), Ogun 39 (21%), Ondo 22 (12%), Osun 18 (10%) and Oyo 26 (14%) respectively. Out of the total of
one hundred and eighty-two hotels, a total of eighty hotels (44%) were located within the State capitals. The
breakdown of the hotels in the capitals indicated that Ado-Ekiti had 13 (16%), Ikeja 29 (36%), Abeokuta 11
(14%), Akure 8 (10%), Oshogbo 3 (4%) and Ibadan 16 (20%). The State capitals were thus selected as a
result of great concentration of the hotels and the capitals are seat of governance and tourist destinations.
In determining the acceptable sample size, Kotharis (1978) formula was adopted with confidence level set at
95% and a 0.02 probable error. By this method, the appropriate sample size of 57 was obtained and split
based on the number of hotels within each State. Data collection instrument consisted of self-administered
questionnaires which were administered on the hotel management and customers complemented with in-
depth personal interview and physical survey of the constructed facilities. The questionnaire administered on
the hotel management was divisible into three major sections namely the general information about the hotel;
the general characteristics of the General Manager and then facilities management variables, while those
administered on the customers was composed of the general characteristics of the respondents and the
perception of support services management by the customers. The number of questionnaires administered
to customers was based on pilot survey carried out on customers turnover for the past five years from which
average monthly and daily averages were determined.


418
Figure 1. Map of Nigeria showing the Study Area in thick Line and the six Geo-Political Zones

Out of fifty-seven questionnaires administered on hotel management, twenty-eight (49%) were returned. In
respect of customers, a total of six hundred and seventy-one questionnaires were distributed out of which
three hundred and sixty (54%) were retrieved as shown in Table 2.
As Kerlinger (1973) puts it, content validity is the representativeness or sampling adequacy of the content
of a measuring instrument. Kerlinger further explained that other competent judges should judge the content
of the items. In order to achieve this for the study, experts opinion in environmental sciences, behavioural
sciences, psychology, marketing and the hotel industry were sought and they assessed the relevance and
appropriateness of the statements in the questionnaires.

Table 2. Summary of Distributed Customers' Questionnaires

No of
S/No Hotels Location Questionnaires
1 Mainland Lagos 49
2 Federal Palace Lagos 50
3 Lagos Sheraton and Towers Lagos 51
4 Niger Palace Lagos 9
5 Hotel Plaza Lagos 19
6 Le'Eko Meridien Lagos 43
7 Excellence Lagos 20
8 Kilo Lagos 21
9 Oasis Lagos 13
10 Hotel Newcastle Lagos 21
11 Bluenet Lagos 8

419
12 Lagos Airport Hotel Lagos 32
13 West End Ado-Ekiti 19
14 Olujoda Ado-Ekiti 16
15 Owena Akure 20
16 Lafia Ibadan 36
17 Premier Ibadan 64
18 Greenspring Ibadan 11
19 K.S Motel Ibadan 17
20 D'erovan Hotel Ibadan 12
21 Kankanfo Inn Ibadan 17
22 MicCom Golf Oshogbo 13
23 Heritage Oshogbo 18
24 Leisure Spring Oshogbo 18
25 Universal Abeokuta 7
26 Adesbar Abeokuta 10
27 Dusmar Abeokuta 22
28 Gateway Abeokuta 35
Total 671

Ghiselli and Brown (1978) in turn emphasized that test validation studies must be carried out on a group of
testers, representative of those on whom the test eventually will be used. This criterion was followed in this
study. For the face and content validity, a superficial examination of the content of the instrument was carried
out in order to ensure that questions that needed to be raised were asked. The reliability of the instruments
was tested using the split-half method. A corrected coefficient of 0.76 was obtained and this was considered
high enough for this type of study in line with Glass and Stanley (1970).
Data analysis was carried out with the aid of descriptive statistics, ranking and Spearmans Correlation
Analysis. The Spearman Correlation Co-efficient was derived using the formula:
r =

The Spearmans Correlation Co-efficient between a pair of data is denoted by r with property of -1 r 1
where
r = 1 implies perfect correlation (in positive sense)
r = 0.5 implies upward correlation in positive sense
r = -1 implies correlation in negative sense
r = 0 implies no correlation at all.

It is recognized that, in some ways, any research work would have limitations. For this research, there is little
published work relating to hotels in Nigeria, and what is available mainly focused on the privatization of
government hotels. Also, as highlighted by Asika (1991), there are various barriers to the collection and
exchange of information, compounded by the location and the remoteness of some hotels and fears about
commercial confidentiality. All these had been guided against in the sample frame and sample size selection.
However, geographical limitation as introduced above and the adoption of Tourism Board list may
inevitably introduce limited bias into the survey, which could limit the application of the results to
geographically dissimilar areas. It is anticipated that the results could at least form the framework for future
research of other far away locations in the country.


420

In determining the benefits accruable to hotel organizations through the adoption of facilities management
principles, reliance is placed on thorough examinations of operations of hotels identified as operating facilities
management or facilities benchmarking as well as collating and sorting open-end questions put forward to the
chief executives, general managers of the hotels, the facilities/maintenance managers and the customers.
Table 3 shows the various identified benefits and their ranking from the organization perspective, Table 4
from Facilities Managers perspective while Table 5 from customers perspective.

Table 3. enefits Derivable from Holistic Adoption of Facilities Management from Hotel Organizations
Perspective

Benefits Response
Number
% Rank
High hotel performance 13 46 3
Functional Hotel 16 57 2
Quality accommodation 5 18 9
Adequate and functional facilities 18 64 1
Meeting customers needs 6 21 8
Effective security system in place 4 14 10
Neat environment 3 11 11
Improved tourism activities 0 0 12
Improved health and safety within hotels 4 14 10
Improved patronage of hotels 8 28 6
Extensive responsibilities & authorities for facilities managers 4 14 10
Quality services 11 39 5
Proactive maintenance 7 25 7
Improved exposure & interaction among hotel operators locally
and internationally
5 18 9
Strategic planning and implementation all the way 5 18 9
Participatory decision making & implementation 3 11 11
National stock of hotels worthy of presentation 7 21 8
Qualitative and proactive management of hotels 14 42 4

The eighteen benefits that were identified by Chief Executives/General Managers of the hotel organizations
are shown in Table 3. From the analysis, adequate and functional facilities were identified as prime
advantage; this is followed by functional hotel, then high hotel performance while improved tourism was
ranked twelfth. It could probably be said that facilities management would lead to a turnaround in facilities
provision and sustenance.

Table 4. Benefits Derivable from Holistic adoption of Facilities Management: Facilities Managers
Perspective

Benefits Response
Number
% Rank

421
Neat environment 3 11 7
Improved exposure & interaction among hotel operators locally
and internationally
0 0 8

Similarly, Table 4 shows the benefits identified by the facilities/maintenance managers of the studies hotels.
Out of the eighteen benefits that were identified by facilities/maintenance managers, extensive
responsibilities and authorities for facilities managers was ranked as first, followed by quality services, then
functional hotel and then quality accommodation with improved exposure and interaction among hotel
operators locally and internationally coming was ranked eighteenth. Extensive responsibilities and authorities
coming first might suggest that these are lacking presently and that adoption of facilities management would
be a welcome development for facilities managers. Apart from this little deviation the facilities managers were
just in tandem with the general managers in terms of functional facilities.
Table 5 shows the likely benefits suggested by customers of the studied hotels.

Table 5. Benefits Derivable from Holistic adoption of Facilities Management: Customers Perspective

Benefits Response
Number
% Rank
Good & neat environment 0 0 17
Improved exposure & interaction among hotel operators locally and
internationally
73 20 7

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From customers perspective, national stock of hotels worthy of presentation ranked first, followed by
improved patronage of hotels, the quality services while neat environment ranked seventeenth. There is
perfect correlation between the views of organizations and facilities managers but no correlation between the
views of either the organizations or facilities managers and the customers using Spearmans Correlation Co-
efficient analysis. It is also noteworthy to state that this independence of opinion reflects the general tendency
of egoistic predilection in Nigeria. However, none of these benefits can be disregarded as they are directly or
indirectly supported by literature such as Aakers (1984), Bevan (1991), Ahmad (1998), Barrett (2000),
Brackertz & Kenly (2002) and Alexander (2003). Nonetheless, the greatest benefit is improvement in the
quality of hotel stock nationally while the least of the benefits is good and neat environment.

5. Conclusion and Recommendation

It is noteworthy from the study that thirteen benefits were agglomerated from the points of view of the
organizations, facilities managers and hotel customers with extensive responsibilities and authorities for
facilities managers ranking first, followed by improved quality of services and then national stock of hotels
worthy of presentation in that order. The use of Facilities Management as an instrument of strategic change
was lowly rated, suggesting that the potentiality and pervasiveness of FM are not reckoned with. Non-
postulation of FM as an instrument for rejuvenating tourism is a pointer to extreme ignorance of FM by hotel
GMs.
This study also buttressed the assertion that application of facilities management principles in the
management of hotels within the study area is at low ebb suggesting un-popularity among hotel stakeholders.
Accelerated education of the populace through the print media, radio and television programmes, training
and re-training of people in this field is considered as the way out. This can be achieved by government
through Ministries of Education and National University Commission (NUC) encouraging and supporting
training and research in this field. Furthermore, International Facilities Management Association, Nigeria
Chapter (IFMANC) should pursue vigorously the enabling law establishing Nigeria Facilities Management
Association (NFMAS) which once established should concentrate more on research, training, marketing and
promotion of the profession. In addition, NFMAS should establish a standard of practice, code of conduct,
standard of training and encouraging continuing professional development through seminars, workshop, in-
service training and public lectures.

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March 1998


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Effects of Animated Agricultural Science Instructional Package on Attitude and Performance
of Junior Secondary School Students in South West Area, Nigeria

Bada Tayo Abass
Adekomi Bimbo
Ojo O. A.

Department of Educational Technology
Obafemi Awolowo University le-Ife, Nigeria.
E-mail Address: badatayo2@yahoo.com

Doi: 10.5901/mjss.2012.03.01.425

Abstract The study developed a locally-produced Animated Agricultural Science Instructional Package (AASIP). It also
examined the effectiveness of the package on students attitude and performance in Agricultural Science. This was with a view
to improving the performance of students in Agricultural Science.The pre-test post-test control group design was employed. The
study population consisted of Junior Secondary School (JSS) III students in Ilesa West Local Government Area of Osun State.
Two schools were purposively selected based on availability of Agricultural Science teachers. The sample for the study
consisted of 160 students selected through simple random sampling technique into experimental and control groups. Students in
the experimental group were taught using AASIP while those in the control group were taught using the conventional classroom
teaching. The AASIP was developed locally based on animated topics on crop rotation and designed in modules using
Macromedia Flash 8.0 and Microsoft PowerPoint 2007. Two research instruments titled Agricultural Science Achievement Test
(ASAT) and Students Attitude Towards Agricultural Science Questionnaire (SATASQ) were used for data collection. Data
collected were analysed using descriptive and inferential statistics.The results showed that students attitude towards Agricultural
Science was enhanced with the use of the animated instructional package (F = 4.398, p < 0.05). The results further showed that
students exposed to the locally-produced AASIP performed significantly better than those exposed to the conventional method
(F = 6.082, p < 0.05). The study concluded that the locally produced AASIP was an effective tool for teaching Agricultural
Science in secondary schools.

Keywords: Instructional Package, Animated Instructional Package, Attitude

1. Introduction

The conventional chalk-and-talk method of teaching Agricultural Science in Nigerian secondary schools has
not been effective in developing the needed technical knowledge and acquisition of the vocational skills
necessary for agricultural development as stated in the National Policy on Education (section 5, no.22 [h],
p.14). It is also known that Agricultural Science is taught in the classroom theoretically without practical work
and the use of relevant instructional materials (Egun, 2007). As a result of the poor method of teaching,
students see the subject as difficult, hence they develop negative attitude towards it. Egun (2007) identified
some of the factors militating against the subject. They are: lack of relevant instructional materials and
suitable textbooks; the wide coverage of the subject; and shortage of professionally trained teachers. Other
factors include inability of teachers to explain some concepts with local examples, lack of Agricultural Science
laboratory, too much work load on teachers and lack of in-service training for older teachers. These factors
among others have resulted in students poor performance and discouraging attitude towards Agricultural
studies (Apantaku, 2004; Badmus, 2007 and Egun, 2007).It is a fact that Agriculture is capable of increasing
the manpower need, provide employment opportunities, sustain and stabilize the economy, thereby building
a dynamic, strong and self reliant nation (Iwena, 2000). The realization of the above may be hampered by the
ineffective traditional chalk and talk method of teaching Agricultural Science in the classroom. The old
traditional classroom environment, as described by Akanbi (1988), is too dull and teacher-centred. Byrne,

426
Catrambone and Stasko (1999) advised that educators should constantly seek new ways to improve
instruction, so as to facilitate learning and to hold the attention of their students. There is therefore the need
for an improved method, which is capable of igniting positive revolution in Agricultural Education.In the
developed countries, Dooley, Stuessy, Magill, and Vasudevan (2000) perceived a growing awareness about
the need in the educational systems to meet the challenge of a changing and increasingly technological
society. The challenge of teaching and assessing large classes in post secondary education using the
chalkboard and multiple-choice exams is overwhelming. According to them, this approach makes it difficult
to challenge the learner at higher cognitive levels. Further, there is the problem of students having difficulty
in tying together the pieces of content into an understandable whole. Dooley, Stuessy, Magill, and
Vasudevan (2004) were of the opinion that educators in agricultural education have traditionally been blessed
with more educational tools than the average classroom teacher. In their view, the privilege of choice of
tactics to use with appropriate evaluation technique, visual aids, or teaching methods based upon the
teaching environment and available students are incomparable to other subject discipline. However, based
on the results from their study on using computer-generated animation as additional visual elaboration in
undergraduate courses, it was discovered that students overwhelmingly support the use of animation as
against the conventional methods, believing that it enhances their learning experience. The authors therefore
called for replication and further study of the utilization of animation in teaching agricultural
topics.Conventional teaching methods of explaining complex processes are inadequate because students
seem unable to grasp a full understanding of the details of instruction, Dooley et al. (2000). Annor-Frempong,
Zinnah and Adam (2003) declared that many of the traditional ways of teaching are no longer fully adequate
unless correctly improved with appropriate instructional strategies. They identified constraints to teaching
learning materials in Agricultural Science such as shortage of tools, and other equipment, lack of finance to
provide the required materials and facilities, insufficient textbook for students and absence of school farms.
Egun (2007) in his research study on reducing teachers instructional difficulties in identified content area
of Agricultural Science discovered that lack of relevant instructional materials is among other reasons for
teachers difficulty in teaching certain content area of Agricultural Science syllabus. Factors Affecting
Students Performance in Agricultural Science can be summarised thus:
(a) Negligence: The education sector is suffering a great negligence like the Agriculture sector of the
nations economy with less than 10 percent of the 2009 budget allocated to education against the 26
percent recommended by UNESCO for developing nations. This no doubt contributed to the fact of the
recent discovery that about 70 percent of Nigerian graduates are unemployable due to inadequate
education (Ike-okoh, Momoh, Bello, Obi, Anaro and Okonedo, 2009). Further discovery revealed that
the nations literacy rate is less than 20 percent and still dropping due to lack of adequate and proper
funding which has had negative impacts on our schools today (Ike-okoh et al., 2009).
(b) Infrastructure: Many of our schools lack the needed infrastructures such as adequate number of
classrooms, Agricultural Science laboratory, practical farm house and well-equipped libraries. The
available classrooms are usually overcrowded falling far below the recommended standard of 40
students to a teacher (National Policy Education, 2004). This encourages lack of seriousness on the
part of the students and poor class control on the part of the teachers.
(c) Staffing: Most schools in the country are short-staffed which sometimes necessitate a teacher having to
teach more than twice the number of students required. In other situations, unqualified teachers are
assigned to teach subjects they are not trained for which often result in disinterest, poor preparation
and ineffective method of teaching being adopted by the teachers. All these have seriously contributed
to the increasing poor educational performance in practical oriented subject like Agricultural Science.
(Egun, 2007 and Badmus, 2007).
(d) Parental Influence: This has consistently affected students participation and active involvement in
Agricultural Science. It is a well known fact that most parents spearhead the war against their wards
getting involved in manual work which is a common feature of practical agriculture (Badmus, 2007).

427
Some are of the opinion or afraid that their wards might get wounded by either their colleagues or
working implements (farm tools), or get bitten by poisonous reptiles and insects and so on. They seem
to forget that life itself is a risk and that some risks are worth taking if life must continue (Carson, 2008;
p32-66).
(e) Funding: Poor funding of the school system is also responsible for the non operation of the practical
farms in schools since teachers are not expected to use their income to fund them. The absence of
practical farms deprives students of experiencing real life agriculture and not just verbal instruction or
theory in isolation. Practical farms enable students to be actively involved and so, acquire practical skill
and knowledge through participation, interaction and visual perception of agricultural activities
(Apantaku, 2004).
(f) Workload: Insufficient teachers in the schools will generally result in too much work load for the
available teachers. The workload of most Agricultural Science teachers in our schools is always high
since they are insufficiently employed. This has resulted in their non-utilisation of instructional materials
and poor timing of their lessons (Badmus, 2007). Agricultural Science is a subject enjoying a great
privilege of some easily available (though sometimes costly or not transportable to the classroom)
instructional materials. These instructional materials include soil of different types, rocks, trees, plants,
food crops (e.g. maize cobs, cassava and yam tuber), cash crops (such as cocoa and groundnut) and
farm animals. It is, however, surprising to find these readily available instructional materials missing in
the classrooms for learning purpose. Teachers are either too busy to get them ready for use or deem it
unnecessary for the teaching-learning process because of time factor. The instructional materials are
thus, inadequately utilised to foster learning.
(g) Incompetence: Sometimes, pictures and charts of some agricultural machines/tools (e.g., tractor and
tractor-coupled implements), plantation, livestock, agricultural system and methods which are not within
reach or unsuitable for classroom presentation, are needed to be brought to the classroom for easy
identification. Most teachers in the country find it difficult to produce these materials because of
incompetence, poor motivation, lack of incentives and lack or inadequate funding (Apantaku, 2004). An
untrained Agricultural Science teacher will see no reason for preparing and utilising instructional
materials in the class based on the assumption that the students are familiar with them.
In order to find a lasting solution to the factors affecting students performance in Agricultural Science,
McGregor (2003) recommended computer-generated animation as one of the tools that can successfully aid
student learning in Agricultural Science, and at the same time relieve some of the monetary and time
constraints that are consistent with traditional methods of visual lesson reinforcement. He further stated that
computer-generated animation must be applied to the appropriate content area of the curriculum, that is, one
that is not a pure abstraction. The specific topical requirements which exist within a curriculum should also be
understood. In other words, computer-generated animation will be appropriate for topics that are too fast or
slow to view, abstract in nature, vague, theoretical, hidden or procedural (McGregor, 2003). According to
Dooley, Stuessy, Magill, and Vasudevan (2000) students found animation helpful and easy to use. Stating
further, they believe that the use of animation in instruction produced a convenient, flexible, and self-direct
learning. They, therefore, conclude that since the current job market in developed (and also, developing)
countries seeks the society-ready graduates, educational animation should be used as an intermittent
learning tool to improve cognitive understanding, student performance, and student self-efficacy for continued
learning throughout a lifetime.There are three basic types of animation under which various animation
techniques are classified (Satwase, 2010). These are: traditional (or Cel) animation, stop motion animation
and computer animation. Traditional animation (also known as hand drawn animation) involves the use of
photographs of hand drawn images on paper to create individual frames. Each drawn images differs slightly
from the one before it, thus, creating the illusion of movement. The drawings are then traced or photocopied
onto transparent acetate sheets, which are painted in appropriate colours on the opposite side of the line
drawings. On completion, each of the transparent acetate sheets is then photographed onto motion picture

428
film. This process was used for most animated films of the 20
th
century but became obsolete by the beginning
of this century when computer systems are used for the animation process. Traditional animation techniques
include rotoscoping, full animation and limited animation.Stop motion animation describes the processes
involved in creating animation by physically manipulating real world objects and photographing them one
frame of film at a time to create the illusion of movement. Different types of stop motion animation exist with
each being named after the type of media used to create the animation (Satwase, 2010). They are: plasticine
or clay animation, cut-out animation, graphic animation, model animation, objects animation, pixilation and
puppet animation.Computer animation as a term describes the use of computer application software to
digitally create animation. Hubbard and O'Connell (2007) defined computer animation as the
creation of the illusion of motion by viewing a succession of computer-generated still images. This includes
computer animation created using programs like 3-D Max and Macromedia Flash. Computer animations are
of two types, namely, 2-D animation which involves the use of 2-D bitmap graphics or 2-D vector graphics to
create and edit 2-D animation figures. Examples of 2-D computer animation include analogue computer
animation, flash animation and PowerPoint animation. In 3-D animation, digital models are manipulated by
animators using processes like rigging, mathematical functions and motion capture etc. While 2-D animation
focuses on image manipulations, 3-D animation creates images that seem real to the viewers. Traynor (2003)
discovered that when animation was used for objects included in the explanation of a particular concept,
learning increases when the cognitive load on the learner's memory was decreased. This reduction in
cognitive load allows the learner to perform more search and recognition processes and to easily relate
information with one another. The view expressed by Schnotz (2002) is such that animated pictures provide
additional information and give external support for mental simulations thereby allowing the learner to
perform a higher amount of cognitive processing. Rahmat (2009) saw animation as capable of features that
are innovative and which can enliven the learning experience. He opined further that the flexibility of learning
through animation will allow a wider range of stimuli thus increase the student engagement in learning.
Studies by Kearsley (2002) showed that students who learn from animation have greater self-esteem and
motivation. His studies also revealed that students ability to retain information and sustain the learning
process increases with animation. According to Reeves (1998), learning with animation can stimulate more
than one sense at a time, thereby making it more attention-getting and attention-holding. It was however,
discovered that the use of animation is limited by its inability to provide real-life learning information and the
absence of interaction among learners.

2. Statement of the Problem

Literatures have proved the effectiveness of animation as a tool for improving students interest, performance
and retention ability in learning difficult task (Dooley, Stuessy, Magill, and Vasudevan, 2000; Dooley,
Stuessy, Magill, and Vasudevan, 2004; and McGregor, 2003). This study was designed to test the effects of
Animated Agricultural Science Instructional Package on the attitude and performance of students in selected
secondary schools in Osun State. The problems are thus stated:
i. What effects will the use of Animated Agricultural Science Instructional Package have on students
attitude towards Agricultural Science?
ii. What will be the possible effect of animation on learners performance in Agricultural Science?

3. Research Hypotheses

The following hypotheses were generated for this study:
1. There will be no significant difference in the attitude of students taught Agricultural Science using
Animated Instructional Package and those taught using conventional method.

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2. There will be no significant difference in the academic performance of students taught Agricultural
Science using Animated Instructional Package and those taught using conventional method.


This study was based primarily on the Dual-Coding Theory by Allan Paivio (1986). The Dual-Coding Theory
(DCT) is a cognitive theory which belongs to the information processing theories group. The theory
postulates that information is processed and represented by two separate codes known as verbal codes and
non-verbal (visual) codes (McGregor, Griffeth, Wheat and Byrd, 2004). Visual and verbal information are
processed differently and along distinct channels with the human mind creating separate representations for
information processed in each channel. Both visual and verbal codes for representing information are used to
organise incoming information into knowledge that can be acted upon, stored and retrieved for subsequent
use. Animated Agricultural Science Instructional Package will present information in two modalities (visual
and verbal) to learners thereby improving students understanding of new materials. Simultaneous
presentation of animated pictures accompanied by audio narration of text materials will also enhance learning
and interest. The adoption of dual coding theory and the underlying principles for designing instructional
animations for this study helped in the production of effective animated instructional package.

5. Methodology

Research Design: The pre-test post-test control group design was used in carrying out this study. This
research design is a true experimental design in that there is a degree of randomization, use of a control
group, and therefore greater internal validity. The design is described as one of the best and most practical to
assess the impact of an intervention or treatment on two randomized groups, one control and one treatment
(Dimitrov and Rumrill, 2003).

5.1 Population

The population for the study consisted of all Junior Secondary School III students in Ilesa West Local
Government Area of Osun State.

5.2 Sample Selection

Two schools were purposively selected from 15 public secondary schools in Ilesa West Local Government
Area of Osun State. The schools are: African Church Junior Grammar School and George Burton Memorial
Junior College. The selection of schools was based on adequate students population (more than 100 JSS III
students) and availability of Agricultural Science teachers over the past five years. This was to ensure that
the students have been conversant with the subject and could easily comprehend the topics being introduced
through the study. Simple random sampling technique was used to select a total of one hundred and sixty
(160) Junior Secondary School III students (80 males and 80 females) from the two schools into experimental
and control groups. Each of the selected schools had eighty (80) subjects in all randomly selected into
experimental (40 subjects) and control (40 subjects) groups. See Appendix V for the table showing the
distribution of randomly selected subjects in the selected schools into experimental and control groups.

5.3 Research Instruments

Three instruments were used for the study. The first instrument is Agricultural Science Achievement Test
(ASAT), which consisted of 20 multiple choice test items. The multiple choice test items were based on the

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lesson topics and were carefully selected from past Junior Secondary School examination questions by the
States Ministry of Education. This instrument was used to measure students academic performance. The
second instrument is a Likert type questionnaire titled: Students Attitude Towards Agricultural Science
(SATAS). This was used to determine the attitude of students towards Agricultural Science subject. The two
instruments were administered on both experimental and control groups during the pre-test and post-test.
The third instrument is Animated Agricultural Science Instructional Package (AASIP) locally produced
(see appendix I for the production script) by the researcher for the purpose of the study. The animated
package was designed and produced using Macromedia Flash 8.0 and Microsoft PowerPoint 2007. The final
packaging into CD was done using PowerPoint and the CD can be played with a computer system that has
Microsoft Office PowerPoint 2007. The topics which the instructional package addressed were delivered on
the identified problem areas of Agricultural Science as the teachers and students proclaimed (Egun, 2007).
AASIP was used for the treatment of the experimental group.
Production Process of the Animated Agricultural Science Instructional Package
After the content and instructional objectives of the package have been selected, the following steps were
taken for the design and production of Animated Agricultural Science Instructional Package.
1. Collection of relevant pictures Relevant pictures of crops to be used for the animation were
downloaded from the internet and saved on the computer system.
2. Editing the collected pictures CorelDraw X3 was used for editing each of the pictures that were
downloaded on the computer system. CorelDraw is powerful computer application software for
graphic design. Each picture was imported into CorelDraw and resized or cropped to a desirable
size and shape. The edited copy of the picture was then exported and saved as a new picture in
JPEG format to be used for the animation.
3. Animation of pictures This was done using Macromedia Flash 8.0, which is computer application
software for creating animation. Individual picture that has been edited using CorelDraw X3 was
imported into Macromedia Flash 8.0 application environment where the animation was carried out.
The animated picture was then exported from Macromedia Flash and saved in GIF animation
format.
4. Recording of narrations Lesson contents that did not require animation were recorded as audio
narrations. This was done using computer system with multimedia headphone. The recording
software was Microsoft sound recorder which allows for necessary editing of the recorded
narration. After the narrations have been recorded and edited, they were saved with appropriate
names for easy access during presentation layout and package development.
5. Timing the presentation The PowerPoint slides with the animation and narrations on them were
effectively timed using the custom animation effects capability of PowerPoint 2007. The entire
package will run for about 30 minutes.
6. Designing and packaging the presentation Microsoft PowerPoint 2007 application software was
used for the design and final packaging of the presentation. PowerPoint slides were created based
on the lesson subtopics and arranged following the instructional sequence. Previously created
animation and recorded narrations were inserted into the appropriate PowerPoint slides for both
visual and audio effects. The completed presentation was then packaged into compact disc (CD)
using the packaging facility provided with PowerPoint 2007.
Animated Agricultural Science Instructional Package Users Manual
The following steps should be taken in order to view the animated package.
Insert the Animated Agricultural Science Instructional Package CD into the computer CD drive and
wait (the package automatically loads and the presentation starts).
At the end of each slide, the user should wait until the slide automatically transit to the next slide or
click on the screen when a prompt Click to continue appears at the bottom right corner of the
screen.

431
Users could at any point press the right arrow key on the computer keyboard to move to the next
item of presentation or press the left arrow key to move to the previous slide (replay) in the
presentation.
Pressing the ESC (escape) key on the computer keyboard stops the presentation.

5.4 Validation of Instruments

AASIP was validated by experts in the department of Educational Technology and Agricultural Extension of
Obafemi Awolowo University, Ile-Ife while ASAT and SATAS were validated by experts in the department of
Educational Foundations and Counselling of the same university. Agricultural Science teachers from the
selected schools also ensure both face and content validity of the instruments. The observations and
corrections that were identified were carefully effected before the instruments were administered.

5.5 Reliability of Instruments

In order to determine the reliability of the research instruments, data collected from students response to the
two test instruments (ASAT and SATAS) administered during pilot study were subjected to Pearson Moment
Correlation Coefficient. A correlation coefficient of 0.77 was obtained for ASAT and 0.92 for SATAS. The
correlation coefficients obtained for both instruments were significant at the 0.01 level, which was considered
high enough for a study of this nature.

5.6 Pilot Study

Pilot study was carried out with a sample size of 20 subjects randomly drawn from Faith International School
(a non-participating school in Ilesa West Local Government Area). The twenty (20) subjects (10 males and 10
females) were selected from the school into experimental and control groups by simple randomization
procedure (table 3.7.1). The experimental group (10 subjects) was exposed to the locally produced Animated
Agricultural Science Instructional Package (AASIP) projected from a computer system while the control group
(10 subjects) was taught by the Agricultural Science teacher in the school using the conventional method.
The two groups responded to the Agricultural Science Achievement Test (ASAT), which consisted of 20
multiple choice test items. The Student Attitude Towards Agricultural Science (SATAS) questionnaire was
also administered on participants. The two instruments (ASAT and SATAS) were given as pre-test and post-
test. The pilot study was concluded in four weeks. The first lesson was used for the pre-test which was
administered on all the sample subjects. The subjects were then randomly distributed into either experimental
(10) or control (10) group. The second and third lessons were used to teach topics on Crop Rotation. The
fourth lesson features the post-test for the two groups. The total and mean scores of data collected were
computed.
From the pilot study, it was discovered that a visit to the schools prior to the commencement of the actual
study was essential to prepare the students and the environment. Also, the presence of the school authority
and the subject teacher was found necessary in order to ensure full participation in the study for accurate
data collection.

5.7 Treatment Procedure

The procedure for administering the research instruments are as follows. In the first lesson, a pre-test was
administered on all Junior Secondary School three students in the sample schools. This was to determine the
students entry behaviour after which they were randomly selected into control and experimental groups.

432
During the second and third lessons, students in the experimental group were separated to a closed
classroom where they were introduced to the Animated Agricultural Science Instructional Package and were
consequently taught the selected topics using the package. The control group also was taught using the
conventional chalk and talk method in a separate classroom far apart from the experimental group. The
topics that were taught include: definition of crop rotation, classification of some crops, steps involve in
planning crop rotation, principles of crop rotation and advantages and disadvantages of crop rotation. These
were divided into 2 lessons of 40 minutes each.
The fourth lesson featured the post-test which was administered on all students in both group using the
same instruments (ASAT and SATAS) that were used for the pre-test. Students responses were scored and
duly recorded after pre-test and post-test.

5.8 Data Analysis

The total scores of each student at the pre-test and post-test were converted to percentages. The groups
mean scores and standard deviation were computed. t-test statistics and One-way Analysis of Variance
(ANOVA) were used to determine the difference between and within the groups.

6. Results

Hypothesis One: There will be no significant difference in the attitude of students taught Agricultural Science
using Animated Agricultural Science Instructional Package (AASIP) and those taught using the conventional
method. The aim of this hypothesis is to find out whether the use of AASIP in the teaching of Agricultural
Science will have an effect on students attitude towards the subject. The hypothesis was tested using the
attitude scores obtained from Students Attitude Towards Agricultural Science (SATAS) questionnaire
administered at the pre-test and post-test levels to both experimental and control groups. The scores were
analysed and compared using t-test and ANOVA. The result is presented in table 1a and 1b.

Table 1a. T-test table showing the differences between the attitudes of the experimental and control
groups at the pre-test and post-test.

Group N Mean SD t df P value
Experimental 80 35.99 6.36
Pre-test
Control 80 35.33 6.07
0.675 158 0.501
Post-test
Control 80 35.41 6.83
2.097 158 0.038

Table 1a shows the differences between the attitude of the experimental and control group at both pre-test
and post-test. At the pre-test, experimental group had a mean score of 35.99 while the control group had a
mean score of 35.33. The t-test analysis reveals a t-value of 0.675 which yields a p value of 0.501. This
means that there is no significant difference between the pre-test attitude of experimental and control groups
(p > 0.05). On the other hand, at the post-test, experimental group had a higher mean score of 37.38 while
the control group had a mean score of 35.41. The t-test analysis reveals a t-value of 2.097 which yields a

433
significant (P value) of 0.038. This means that there is a significant difference between the attitude of the
experimental and control groups after treatment (p < 0.05).
In order to strengthen the findings, a more robust statistic of One-way Analysis of Variance (ANOVA)
was used to determine the difference between and within the groups (table 1b). For the attitude test an F-
ratio of 0.455 was obtained at the pre-test while after experimentation the F-ratio of 4.398, df = (1, 158), p <
0.05 was obtained. This implied that the Animated Agricultural Science Instructional Package significantly
influenced the attitude of the selected students. Therefore, hypothesis one is rejected.

Table 1b. ANOVA table showing the difference in the attitude between and within the groups at the
pre-test and post-test.

Sum of Squares df Mean Square F Sig.
Pre-test SATAS Between Groups
17.556 1 17.556 0.455 0.501
Within Groups
6090.538 158 38.548
Total
6108.094 159

Post-test SATAS Between Groups
154.056 1 154.056 4.398 0.038
Within Groups
5534.138 158 35.026
Total
5688.194 159

Hypothesis Two: There will be no significant difference in the performance of students taught Agricultural
Science using Animated Instructional Package and those taught using conventional method. In order to test
this hypothesis, the pre-test and post-test scores of the experimental and control groups were analysed and
compared in table 2a and 2b using t-test and ANOVA.

Table 2a. T-test table showing the differences between the pre-test and post-test mean scores of the
experimental and control groups achievement test.

Group N Mean SD T df P value
Pre-test
Control 80 42.44 14.03
-0.133 158 0.894
Post-test
Control 80 46.50 13.74
2.466 158 0.015

Table 2a shows the differences between the pre-test and post-test scores of the control group. At the pre-
test, experimental group had a mean score of 42.13 while the control group had a mean score of 42.44. The
t-test analysis reveals a t-value of -0.133 which yields a p value of 0.894. This means that there is no
significant difference between the pre-test scores of experimental and control groups (p > 0.05). On the other
hand, at the post-test, experimental group had a mean score of 53.00 while the control group had a mean

434
score of 46.50. The t-test analysis reveals a t-value of 2.466 which yields a significant (P value) of 0.015. This
means that there is a significant difference between the post-test scores of experimental and control groups
(p < 0.05).
Further test to strengthen the findings was carried out using One-way Analysis of Variance (ANOVA) in
order to determine the difference between and within the groups (table 2b). For the achievement test an F-
ratio of 0.018 was obtained at the pre-test while after experimentation the F-ratio of 6.082, df = (1, 158), p <
0.05 was obtained. This implied that the Animated Agricultural Science Instructional Package significantly
influenced the performance of the selected students. Hypothesis two is therefore rejected.

Table 2b. ANOVA table showing the difference in the performance between and within the groups at
the pre-test and post-test.

Sum of Squares df Mean Square F Sig.
Pre-test ASAT Between Groups
3.906 1 3.906 0.018 0.894
Within Groups
34888.438 158 220.813
Total
34892.344 159

Post-test ASAT Between Groups
1690.000 1 1690.000 6.082 0.015
Within Groups
43900.000 158 277.848
Total
45590.000 159

7. Summary and Conclusion

Findings of the study showed that there was a significant difference in the attitude and performance of
students taught Agricultural Science using Animated Agricultural Science Instructional Package (AASIP) and
those taught using the conventional talk-chalk method. In conclusion, Animated Agricultural Science
Instructional Package (AASIP) is an effective tool for improving students attitude and performance in
Agricultural Science in Osun State Secondary Schools.

References

Akanbi, D. K. (1988). Systems Approach. In Ogunranti, A. (1988): Problems and Prospects of Educational Technology; Heineman
Educational Books(Nig.) Ltd., Ibadan.
Annor-Frempong, F., Zinnah, M. and Adam, I. (2003). Teaching of Agricultural Science at the Basic Education Level in Developing
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437

Factors Influencing Marital Stability

Maciver, J. E.
Dimkpa, D. I.

Department of Educational Foundations, Niger Delta University,
Wilberforce Island, Bayelsa State, Nigeria
E-mail: maciverjohnson@yahoo.com; daisdimkpadr@yahoo.com

Doi: 10.5901/mjss.2012.03.01.437

Abstract The marital institution is witnessing instability globally. This study investigated factors that influence marital stability as
perceived by literate spouses in Yenagoa metropolis of Bayelsa State, Nigeria. The population of this study consist of all literate
married couples in Yenagoa metropolis. A total of 600 respondents were selected using the simple random sampling technique.
The instrument titled Factors Influencing Marital Stability Questionnaire (FIMSQ) was used in collecting the relevant data, with
Pearson reliability (r) of 0.78. Mean scores were used to analyze the main research question; Analysis of variance (ANOVA) and
the t-test statistics were used to test four null hypotheses generated for the study. The findings showed that in order of ranking,
social, behavioural, domestic, sexual, religious and financial factors influence marital stability. It further showed that there were
no significant differences among the respondents in their perception of factors influencing marital stability based on gender,
religion, educational level and length of marriage. Thus, some recommendations were made in line with the findings.

Key words: marital stability, spouses, factors, influencing, perception

1. Introduction

The first marital union on earth was that of Adam and Eve in the garden of Eden ordained by God after which
God blessed them with His pronouncement that they will be fruitful, multiply and fill all the earth. No doubt,
the family has been the medium through which mankind came into existence. It is through this marital
institution that mankind was primarily groomed into adulthood and this became a vicious circle till this present
time. Ayodele (2001) defines marriage as the union of a man and his wife in body and soul.
Marital institution has many variables affecting it, including marriage age, spouses educational level,
religion, etc (Dada & Idowu 2006). The need for literacy cannot be overemphasized because education is a
vital tool in influencing marital stability. However, in Nigeria and many other African countries, literacy
percentage is very low. (Jimoh, 1999). Notwithstanding, the purpose for marriage is far more important than
the mere legalized sexual relationship among spouses (Agbutuin, 1990). To this end, Yakubu (1998) opined
that in marriage, there are lots of stresses, bitterness, failures and successes. Other factors that threaten
marital stability include age of marriage, educational level of spouse, religion, income, type of marriage,
fertility status, kind of family background of spouses, communication, culture, etc. From the foregoing, a lot of
researches on marital instability show that many factors are responsible for the misnomer in marital union.
This is the reason why coping skills must be learnt and put into use so that couples can cope with these
challenges and maintain a stable marital union.

1.1 Statement of the Problem

Marital separation, divorce and remarriage are common phenomena in Nigeria and else where all over the
world. One of the factors responsible for these anomalies is lack of children which couples encounter some
years after inception of the union (Maciver, 2004). Once the problem of lack of children rears its ugly head,
the need to remarry is often felt; especially with pressure from family members, friends and even the larger

438
society. Sex of children from the union is another factor that causes marital instability. Olayinka (1990) opined
that the stability of marriage may be threatened if there are only girls in the family. This is because a higher
premium is placed on a male child compared to female ones in Nigeria as a result of culture. However,
Ayodele (2001) advised that no one sex is superior to the other, and that both males and females should
given equal educational opportunities. Thus, families who are childless within a few years after marriage
experience turbulence manifested in quarrelling, suspicion, unhappiness and even separation and divorce.
Against this backdrop, this study attempted to bridge the gap in literature by focusing on factors influencing
marital stability as perceived by literate couples in Yenagoa metropolis, Bayelsa State of Nigeria.

1.2 Purpose of the Study

The main purpose of this study was to investigate factors influencing marital stability among literate couples
in Yenagoa, Bayelsa State of Nigeria. Specifically, the study sought to compare these factors using variables
such as gender, religion, educational level and age.

1.3 Research Questions

This study investigated the following questions:
1. What are the major factors that influence marital stability as perceived by literate spouses in
Yenagoa metropolis?
2. Is there any difference between male and female literate spouses in their perception of factors that
influence marital stability?
3. Is there any difference between Christian and non-Christian literate spouses in their perception of
factors influencing marital stability?
4. Is there any difference between highly educated and less educated literate spouses in their
perception of factors influencing marital stability ?
5. Is there any difference between young and old literate spouses in their perception of factors that
influence marital stability?

1.4 Research Hypotheses

The following null hypotheses were examined in this study:
1. There is no significant difference between male and female literate spouses in their perception of
factors that influences marital stability.
2. There is no significant difference between Christian and non Christian literate spouses in their
perception of factors that influence marital stability.
3. There is no significant difference between highly and less educated literate spouses in their
perception of factors that influence marital stability
4. There is no significant difference between young and old literate spouses in their perception of
factors that influence marital stability.

2. Methodology

2.1 Research Design

The descriptive survey design was used for this study. This survey method involves direct contact with a
population or sample (Dada & Idowu, 2006). The descriptive survey was considered to be relevant because it
is the most favourable for the measurement of perception of individuals.

439
2.1.1 Participants

All literate spouses in Yenagoa metropolis were the target population. Simple random sampling was used in
selecting 600 respondents (300 male and 300 female spouses). Other strata include; religion (414 Christians
and 186 non Christians); educational level (O/L = 92; NCE/Diploma:=154; first degree; =146; Masters and
Ph. D: = 208). Length of marriage (Young couples 1-20 years = 290 and old couples 20 & above years;
=310)
The choice of literate couples is hinged on the fact that they are more knowledgeable, hence can
understand the contents of the questionnaire better. Again the scope of this study is limited to literate couples
because the respondents would be able to understand the impact of the study since most of them have been
married for some time and expectedly would favourably react to the items of the questionnaire accurately.
The literate couples in the study are those spouses from secondary school level and above.

2.1.2 Instrumentation

A researcher-designed Factors Influencing Marital Stability Questionnaire (FIMSQ) was the instrument used
in collecting data for the study. It consists of section A and B. Section A is for demographic data of the
respondents and section B comprises the items on factors influencing marital stability. Section B further has
six sub-sections with four items each for social, financial, religious, sexual, domestic and behavioural factors.
To determine the validity of the instrument, the questionnaires were subjected to scrutiny by four experts
in the department of Guidance and Counselling, and the Department of Educational Management. The
experts assessed the instrument for content and face-validity.
The reliability of the instrument was determined using test re-test method in order to assess the
consistency of the instrument after an interval of two weeks. Reliability co-efficient of 0.78 was obtained when
Pearson Product Moment Correlation Coefficient was used. Hence the instrument was found to be suitable
for the research.

2.1.3 Scoring Procedure

The instrument was scored using the four-point Likert scale so as to assess respondents degree of
agreement to the items. The items with positive direction were scored thus. SA= (4). A= (3); D= (2) SD= (1).
Items with negative direction were reversed thus; SA= (1); A= (2); D= (3); SD= (4).
The highest score for any respondent in the instrument is 96; (4x24). And the lowest is 24; (1x24). The
range is 72 (96-24), thus the mid-point is 36; making the cut-off point to be 96 and 36; ie maximum score
minus the mid-point of the range 24+36 = 60. This means that respondents who scored 60 to 96 were
considered to have higher perception of factors influencing marital stability, while those with 60 and below
have lower perception. In order to summarize the results, the items were grouped and rank order was
employed using the mean scores of the major factors (social, financial, religious, sexual, domestic and
behavioural) were.

2.1.4 Method Of Data Analysis

The t-test and Analysis of Variance (ANOVA) statistics were used to test the hypotheses.

3. Results

Research Question One: What are the major factors that influence marital stability as perceived by literate
spouses in Yenagoa metropolis?

440
Table 1. Summary Table Showing Factors Influencing Marital Stability by Mean Score and Ranking

S/N Factors Mean
score
Ranking
1 Social 14.79 1
st

2 Behavioural 14.77 2
nd

3 Domestic 14.73 3
rd

4 Sexual 14.67 4
th

5 Religious 14.65 5
th

6 Financial 14.15 6
th

Table 1 shows that factors influencing marital stability are: social factors such as respect and submission by
wife to husband, effective communication which was ranked as the highest factor (14.79). This was followed
by behavioural factors; such as adherence to consensus, endurance, etc by both spouses (14.77); domestic
factors include delicious/timely cooking of meals, care for one another etc (14.73); sexual factors include;
regular sexual intercourse, petting, kisses, etc (14.67); religious factors include morning devotion, fear of God
in doing things etc (14.65). Lastly, financial factors which include adequate provision by husband of food,
shelter, clothing, etc (14.15).

Hypotheses Testing

Hypothesis One: There is no significant difference between male and female literate spouses in their

Table 2. T-test comparing male and female literate spouses in their perception of factors influencing
marital stability

Gender No X SD Df Cal.t-value Crit.t-value
Male 300 86.97 5.48
Female 300 86.81 5.07

289

0.23 (NS)

1.96

P >0.05; Df 289; NS= Not significant

It is evident from Table 2 that there is no significant difference between male and female literate spouses in
their perception of factors that influence marital stability. The calculated t-value (0.23) is less than the critical
t-value of 1.96. Thus, hypothesis one was accepted.

Hypothesis Two: There is no significant difference between Christian and non-Christian literate spouses in
their perception of factors that influence marital stability.

Table 3. T-test Comparing Christian and Non-Christian Literate Spouses in their perception of factors
that influence marital stability.

Religion N X SD Df Cal.t value Crit.t-value
Christian 414 87.89 5.20
non-Christian 186 87.41 5.51

298

0.87(NS)

1.96



441
Table 3 shows that the calculated t-value of 0.87 is less than the critical t-value of 1.96, showing that there is
no significant difference between Christian and Non-Christian literate spouses in their perception of factors
influencing marital stability. Thus, hypothesis two was accepted.

Hypothesis Three: There is no significant difference between highly educated and less educated literate
spouses in their perception of factors that influence marital stability.

Table 4: Analysis of Variance (ANOVA) on respondents perception of factors that
influence marital stability by basis of educational level.

Source of Variance Sum of Squares Df Means Square Cal. F -value Crit.F-value
Between groups 129.8671 3 45.1011
Within Groups 8131.2116 295 27.4302

1.5981 (NS)

2.57
Total 8261.0787 298


Table 4 shows that there is no significant difference among literate couples on factors influencing marital
stability. The calculated F- value of 1.5981 is less than the critical F-value of 2.57. Hence, hypothesis three
was accepted.

Hypothesis Four: There is no significant difference between Young and Old literate spouses in their

Table 5. T-test analysis comparing young and old literate spouses in their perception of factors that
influence marital stability.

Length of
Marriage
N X SD Df Cal.t-
value
Crit.t-value
1-20years 290 89.0111 4.7100
20 years &
above
310 88.2210 5.6433

289
(NS)

- 0.69

1.96


Table 5 shows that the calculated t-value of -0.69 is less than the critical t-value of 1.96. This indicates that
there is no significant difference between young and old literate spouses in their perception of factors that
influence marital stability. Thus, the hypothesis was accepted.

4. Discussion of Findings

The findings from Table 1 shows that three main factors influence marital stability; viz: social (14.79),
behavioural (14.77) and domestic (14.73). Respondents equally considered sexual (14.67), religious (14.65)
and financial (14.15) factors as influencing marital stability because their mean scores are also high. The
result of these findings corroborate that of Dada and Idowu (2006) in which similar factors were upheld as
affecting marital stability. In testing the first null hypothesis, result shows no significant difference between
male and female literate spouses in their perception of factors that influence marital stability. The findings of
Agbamu and Odewumi (2001) is also in consonance with these findings.

442
In the second null hypothesis between Christian and non-Christian literate spouses, it shows that the
respondents perceived the factors in the same light. This means that they were not significantly different.
Jegede (1991) compared Christians and Muslims in respondents perception of factors influencing marital
stability in a similar study with the variable of communication and reported similar result.
In terms of the respondents educational level, the third null hypothesis also shows that they were not
significantly different in their perception. A study carried out by Olayinka (1990) also corroborates this finding.
So also is the study of Dada and Idowu (2006) who used similar variables. On the basis of length of
marriage in the fourth hypothesis, it was evidently clear that the longer the spouses stayed in marriage, the
more favourably they adjust in marriage. Ogidan (1991), in his study also found out that though marriage in
Nigeria is besieged by a lot of constraints like divorce and separation, the longer the spouses stayed
together, the more stable their marriage becomes.

5. Conclusion and Recommendations

It has been from this study that in a descending order, social, behavioural, domestic, sexual, religious and
financial factors foster stability in marriage. Therefore, the government and marriage counsellors should help
to maintain marital stability among couples through seminars, workshops etc. The government should
provide an enabling environment for couples to improve their living standards as a means of ensuring stability
of marriage. For the counsellors, lectures, workshops, etc should be organised for married couples to
enhance marital stability and to teach them some skills in maintaining good marital relationships. Also, pre-
marital counselling should be regularly organised for youths on techniques of enhancing marital stability
before going into this God ordained institution of marriage.

References

Agbana, E. O & Odewumi, S. O. (2001). Married People and Stability at Home: Nigerian Journal of Gender and Development, 2 (1), 149-
153.
Agbutuin, A. (1990). Marriage Problems Inventory in Egunland and the need for marital counselling, Unpublished M. Ed Thesis,
University of Lagos.
Ayodele, M. O. (2001). Gender Agenda in Marital stability and productive adult life. Nigerian Journal of Gender Development, 2 (1); 150-
154.
Dada, M. F. & Idowu, A. I. (2006). Factors Enhancing Marital Stability as Perceived by Educated Spouses in Ilorin metropolis, Nigeria;
The counsellor, 22 (1) 127-137.
Jejede, R. O. (1991). Marriage and Family Living in the Nineties. Jos; Great Commission Movement.
Jimoh, K. T. (1999). Education, Marital Stability and Productive Adult Life. A paper presented at the 2
nd
Annual Workshop of School of
Education, College of Education, Technical, Lafaigi Nigeria.
Maciver, J. E. (2004). Effectiveness of Communication Intimacy and Problem-solving skills training Fostering: Marital Adjustment among
some Working Class couples. Unpublished Ph. D thesis, Delta State University, Abraka, Nigeria.
Ogidan, R. J. (1991). Marital Adjustment Problem of Educated Employed and Unemployed Married Couples in selected Towns in kwara
State. Unpublished M. Ed thesis, University of llorin, Nigeria.
Olayinka, F. O. (1990). Sex Education and Marital Guidance. Lagos. Lantern Books Ltd.
Yahaya, L. A. (1998). Relationship among Behaviour Patterns, Marital Adjustment and Job Performance of Federal Civil Servants.
Unpublished Ph. D Thesis, University of Ilorin, Nigeria.


443

Challenges of Domestic Water Consumption in Bhahumono
Communities of Abi Local Government Area, Nigeria

Otu, Judith E.

Department of Sociology, University of Calabar-Nigeria.
Email: judithesame@yahoo.com

Eja, Eja I.

Department of Geography and Regional Planning,
University of Calabar, Calabar.
Email: ejako2007@yahoo.com; ewaezeewa@yahoo.com

Agbor,Emmanuel A.
Inyang, Ita O.

Department of Urban and Regional Planning,
Cross River University of Technology, Nigeria.
Email: itoabia@yahoo.com.

Doi: 10.5901/mjss.2012.03.01.443

Abstract The menace of domestic water consumption and quality in Bhahumono Communities, in Abi Local Government Area
has become of great concern especially among stakeholders saddle with the responsibility of maintaining quality water for
domestic and public uses. This paper examines the challenges of domestic water consumption in Bhahumono communities with
specific reference to sources of water supply, elemental contents of the difference sources, the rate of consumption and water
borne diseases in the area. Seventeen water points were sampled in selected location and the water samples collected were
analyzed using Gallenkamp flame analyzer (model F.A. 330-9 and atomic absorption spectromometer (model PYE UNICAM
SP29007. The tritrimetric and observatory methods were used to determined the physical properties of the water. The analysis
shows that most sampled location had a high level of iron (fe) and cadmium (cd) which makes the not suitable for drinking as
evidence in F-value of 4.62 (calculated) higher than critical value of 3.04 (calculated). A calculated value of 4.60 at 0.05
significant level higher than critical value of 3.60 which indicate that distance was a major determinant factor affecting the quality
of water supply in Bhahumono communities. Therefore, adequate measures must be put in place if the menace of domestic
water quality in the area must be averted.

Keywords: domestic water, water quality, elemental contents, water supply.

1. Introduction

Human activities have influence directly or indirectly the quantity of the environment which at the same time
man have aroused the public and government awareness on the important to secure the quality of the
environment (Stanton, 1974). Today, water plays on significant role in the socio-economic development
especially in rural communities were the inhabitant solely depends on rainfall and underground water for
domestic and public uses (Shipman, 1967). This assertion was evidence in (Droonkamp, 1982) which
according to him without water there would be no economic endeavour. The world Health Organization
(WHO, 1984) emphasized the important of water to social and the health sector have set up a standard for
water quality for human consumption. According to Eze and Abua (2003) the quality of water consumed by
individuals is uncertained, Ekop (1994) in his empirical findings of Calabar urban water supply system state
that during raining season more than 30% of the residents consume a daily average of 80 liters of water.

444
This situation in Abi local government area and Bhahumono communities in particular is patheticals were
water supply is inadequate compared to demand (Ewa, 2010). However, despite the laudable efforts by the
government to avert the impurities in domestic water and the crises of inadequate water supply in the rural
communities, the quality of the water sources such rivers, streams and boreholes which the people solely
depend for domestic and public uses constitute a serious problem to human health in the area (Ekpoh,
2004). Beside, most of the boreholes, streams and are dried up during dry season, hence causing pressure
on the few surviving ones which makes the inhabitant to spend more hours in search of water. Moreo, these
majority of communities whose source of livelihood depends on these sources of water supply in the area
are pround to various sorts of bacterials and germs and the resultant effect is that cases of typhoid,
diarrhea, dysentery and malaria becomes more prevalence in the area. Therefore, this paper seek to
evaluate the challenges of domestic water consumption in Abi local government area with specific reference
to the assessing the water sources, physico-chemical, properties, quality of water consume, associated
disease in the area.

2. Methodology

This study was conducted within the confine of Bhahumono in Abi local government area of Cross River
State. Six communities were selected for the study taken into consideration the sources of water supply
within the sampled communities. The sources of water sampled include tap, borehole, stream and river.
However, water sample were collected at different location around the sampled communities. Information on
water borne diseases in the various community were obtained from field survey carryout in each health care
centres found in the communities. Water samples were collected from seventeen sampling points, four
points (4) were location for tap and borehole and river and five (5) points for streams in other to assess the
water quality in the area. These water samples were analysed and the average recorded. The physic-
chemical elements of the samples were analyzed using Gallenkamp flame analyzer (Model F. G. A. -330-
C) and atomic absorption spectrophotometer (model PYE UNICAM SP2900). The titrimetric and observatory
methods were used in determining some physical properties of the water. The values obtained were
compared with the WHO standard values to assess the rate of pollution of the different water samples.
However, two hypotheses were tested in this research which include, to assess whether or not there is
significant difference in the sources and quantity of water consumed by residents in the sample location
and to evaluate if there is or not significant relationship in the cost of obtaining domestic water and the
quantity available to household for consumption.

3. Study Area

The study was conducted in Bhahumono communities in Abi local government area of Cross River State. Six
majorly communities were selected for this work which include Usumutong, Ediba, Anong, Ebom, Igoniguni
and Afafayi. The major sources of domestic water consumption in the area include, borehole, streams, taps
and rivers. Although, tap and borehole were only useful during the raining season when the river and
streams are polluted due to surface runoff which discharges effluence into the water bodies, hence making
them not good for human consumption. However, Usumutong community depends basically on stream and
tap with a few borehole which dry up during dry season. Other communities have common boundary and
depend solely on rivers as a source of water for domestic use.


The issue of global environmental change entered international agenda during the mind and late 1980s; it
has been accompanied and partly prompted by an ever-growing body of evidence of environmental

445
degradation. In the words of Miller (1982), the conceptual environmental pollution as an addition to air, soil,
water or food that threatens the earth survival capacity or activities of humans and other living organisms.
Some experts make a distinction between contamination and
pollution because of the similarity. Contamination is said to be a situation where a substance is present in the
environment but not causing any obvious harm, while pollution is reverse for cases where harmful effects are
apparent. According to Smith (2000), roughly 100 contaminants have been detected in public water supply in
United State and virtually every major water source is vulnerable to pollution. About 60% of U.S population
relies on surface water from rivers, lakes and reservoirs that may contain industrial and agricultural waste
and pesticides washed off fields by rain. The other 40% uses ground water that may be tainted by chemical
slowly seeping in from toxic-waste dumps, agricultural activities, leaking sewage and septic systems. In some
areas where ground water are bearing gradually depleted, the chemical pollutants are becoming more
concentrated. Most pollutants are probably not concentrated enough to pose significant health problems;
however there are exceptions. The most widespread danger in water lead, which can cause high blood
pressure and an array of other health problems. Lead is especially hazardous to children, since it impairs the
development of brain ceils. The U.S. Environment Protection Agency estimates that at least 42 million
Americans are exposed to unacceptable high level of lead and the U. S. Public Health Service estimates that
perhaps 9 million children are at least slightly affected by it. The contamination comes from old lead pipes
and solder that has been in plumbing for years. The materials are gradually being replaced in homes and
water systems. Individuals may want to have their water tested by an official laboratory. If the level is too high
they can investigate ways to deal with the problem or switch to boiled water for drinking and cooking. Even
then, caution is called for some bottled water contained many of the same contamination teat-tap water does.
The other four types of contamination in water supply according to Smith (2000) is shown in the table
below.

s/n Substance Sources Health effects
1 Persistent chlorinated
organic compounds
Used as solvents in industry, past use
as pesticides
Various; including
reproduction problem and
cancer
2 Trihalomethanes Produced be chemical reaction when
water is disinfected by chlorination
Liver and kidney damage
and possible cancer
3 Nitrates Formerly from fertilizer and efficient
from concentrated livestock seasoning
Can react to reduce oxygen
of blood particularly a
problem with children
4 Lead Old piping and water distribution
solder in public systems, homes
and other buildings
Nerve damage leaving
difficult in children birth
defect possible cancer.
5 Pathogenic bacteria,
protozoan and viruses
Leaking septic tasks and serves
Leaking septic Acute
contamination of birds and mammals
and inadequate disinfection
Acute gastrointestine illness
and other serious health
problems

According to (Bitisses, 1981) one of the greatest environmental problem today is water pollution. In the work
of (Stapp and Mitchell, 1995) for instance, 80% of sickness in the world are one to unsafe water and poor
sanitation over million children below the age of 5 die annually in the developed countries of the southern
hemisphere one directly to water pollution. In work of (Ineas and Gilles, 1990: P. 289) the 1980s were
designated the international water supply and sanitation decades during which a concerted effort has boon
made by seven United Nations. Agencies to improve the environmental health of the world's poorer. The
Eastern region of Nigeria has some unfortunate claim to fame, which might better, be felt unpublished except
that it relates to a problem of monumental proportion and one of great interest and concern to geographers

446
hydrologist, agriculturist, conservationist as well as other scientist and the local people. A hydrological model
for the humid tropics based entirely on the experiences of Southeast Nigeria has been provided by Ayoade
(1976). The result revealed that only 25% variation in type of physico chemical concentration in the region is
explainable in terms of variation in population density compared to 75% for their configuration. Also according
to Ezeigbo (1989), asserts that the practice of indiscriminate disposal of waste of all types in our towns and
villages, increase use of fertilizer and other agricultural chemicals and the accelerated erosion suggests
strongly that there is a widespread pollution of streams, rivers, lakes, lagoons and other water bodies in the
region.
"It is generally accepted that the pollution of water results from physical factor and chemical factor. The
physical factor is the climatic condition of the region due to the emission of carbon in the atmosphere, at this
stage the content of the bicarbonate ion level in the affected lakes declines, even though initially the
buffering capacity of the drainage basin obviates any lowering of the PH level. Ayoade (1988), notes that one
is concerned with the salinity buildup of the aquifers in general, the chemical composition of this salinity that
limits the utilization of the water for specific uses and moreover the presence of anthropogenic pollutants
introduced by Vivifies near the replenishment sites of the aquifers concerned. Moreover, he contended that
this should be based on detailed monitoring network and an accepted hydrological model that should also
account for Dart ways of chemical components and possible pollutants in the system. Further the option for
remediation of the system need to be recognized. Ekpoh (1992), asserts that the hydrocarbons of petroleum
references, the dust and fumes of metal smelting and cement works, the odorous gasses of chemicals and
allied industries, the carbon monoxide of sulfur and nitrogen of internal combustion engines, the charred
particulates and sulfur dioxide emission of pulp and paper industries for instance, are all pollutant which are
increasing the acidification potentials of our lakes, stream and rivers meant for domestic and other uses.

5. Findings

5.1 Sources of Water

The sources of water supply presented in table 1 shows that Ediba community was provided with all the
water sources with a high value of 32.12% compared to Usumutong and Ebom community with values of
21.8% and 15.75 respectively. Afafayi and Anong community were disadvantage in terms of the sources of
water available for domestic use with a value of 4.84% and 8.48%. Table1 indicate that an average of 38.78
boreholes were provided in all the communities while 30.90% streams were available in all the communities
out of one hundred and sixty five (165) sources of water provided in the area. However, table 1 shows that
an average of 11.51% rivers were available in the communities which was on the least side compared to
other sources of water supply in the area.

Table 1. Sources of water supply

Frequency Communities
Tap Borehole River Stream Percentage
Usumutong 13 8 0 15 21.8
Ediba 10 10 13 17 32.12
Anong 8 4 - 2 8.48
Ebom - 20 1 5 15.75
Igonigoni - 6 2 7 9.09
Afafayi - - 3 5 4.84
Total 31
Av = 18.78
64
Av= 38.78
19
Av=11.51
51
Av=30.90
100

Source: Field survey (2011)

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5.2 Analyses of Elemental Contents

It was observed that the elemental contents was carryout to examine the contents of the available elements
in the water sources in the area, the contents of sodium (Na) between the lowest values of 1.1 in location 3 to
the highest value of 9.6 in location 12. Table shows that an average value of 5.76 was obtained in location
17. It was observed in table 1 that location 15,16 have lowest values of 0.2 while the highest value of 7.1
was obtained in location 6. Table 1 calcium (ca) shows a lower value of 0.1 in location 3 and the highest
value of 1.5 in location while an average value of 0.85 was obtained. The zero value for iron (fe) was
obtained in locations of 9, 15 where iron was not detected at all in the samples. The highest value of 1.8 was
obtained in location 13. The average value for all the 17 locations was 0.69. manganese (mn) had the lowest
value of 1.01 in locations 3 and 11 and the highest value of 0.11 in location 5. The average value for the
element was 0.08 for all the 17 locations. However, cadmium (cd) was not detected in locations 5, 13 and
17 while the highest value of 0.02 were obtained in 2,6,14 and 15. The average value for all the 17 locations
was 0.01 as presented in table 1.

Table 2. Elemental analysis of public water supply in Calabar urban

Source Contents (ppm)
Locations Na K Ca Fe Mn Mg Cu Pb Cd
Tap 1. 1.4 6.5 0.8 0.6 0.03 0:036 0.04 0.01 0.01
2. 1.5 6.7 0.8 0.07 0.05 0.36 0.03 0.01 0.02
3. 1.1 4.7 0.1 0.5 0.01 0.25 0.03 0.03 0.01
4. 1.3 6.5 1.5 0.8 0.06 0.50 0.04 0.02 0.01
Borehole 5. 6.6 6.0 1.4 1.3 0.11 0.50 0.04 0.04 0.00
6. 9.9 7.1 0.3 1.3 0.07 0.63 0.05 0.01 0.02
7. 4.3 2.2 1.5 1.0 0.05 1.13 0.04 0.09 0.01
8. 8.9 6.2 1.0 0.1 0.10 1.64 0.04 0.09 0.00
Stream 9. 5.4 0.3 0.8 0.0 0.10 0.40 0.06 0.05 0.01
10. 8.5 4.5 0.3 0.1 0.08 0.75 0.05 0.06 0.01
11. 9.4 3.4 0.2 1.5 0.01 0.51 0.03 0.08 0.01
12. 8.5 3.4 0.4 71.4 0.08 0.65 0.08 0.07 0.01
13. 9.6 3.3 0.3 1.8 0.09 0.60 0.07 0.05 0.00
Location Na K Ca Fe Mn Mg Cu Pb Cd
River 14. 5.6 0.3 1.3 0.2 0.06 0.43 0.04 0.04 0.02
15. 3.9 0.2 1.4 0.0 0.04 0.44 0.04 0.04 0.0
16. 4.1 0.2 1.2 0.1 0.06 0.41 0.07 0.03 0.01
17. 2.7 0.6 1.1 0.1 0.06 0.30 0.04 0.05 0.00
Average 57 3.65 0.85 0.69 0.08 0.58 0.05 0.04 0.01

Note: Na = sodium; K = potassium; Ca= calcium; Fe= iron; Mn= manganese; Mg- magnesium; Cu copper; Pb= lead;
Cd= Cadmium; pp,= parts per million.

5.3 Water Quality Consumed

The mean quantity of water consumed in liters per day presented in figure 1 shows that the quantity of water
consumed in Afafayi and Anong was below average with values of 12.4% and 14.6%, with mean quantity of
water used as 75 and 88 liters per day. The table revealed that on the average, a person consumers 14.6

448
liters of water which in far below the quantity estimated by Ayoade and Oyebande (1983). This low
consumption is caused by uneven and insufficient distribution of standpipes to serve the inhabitants.
However, figure 1 revealed that the mean quantity of water used in Usumutong and Ediba was high with
values of 19.1% and 19.8% and with a small household sized compared to Anong and Igonigoni community.

Figure 1. Mean quantity of water consumed in liters per day


5.4 Water Borne Diseases in the Area

The water borne diseases in the area presented in table 3 revealed that typhoid was the most prevalence
water borne disease in the area followed by Diarrhea with values of one thousand fifty nine (1059) and one
hundred and fifty nine (159) cases. Table 3 shows that cholera and dysentery were on the least side with
values of ten (10) and thirty five (35) cases. It was noticed in table 3 that the sex ratio of infected male with
typhoid was on the high side with value of five hundred and forty two (542) cases compared to diarrhea with
a high rate of infected female with value of one hundred and thirty nine (139) cases. The number of infected
cholera was on the least side with a corresponding values of five (5) case for both sex. Table 3 shows 27.6%
reported case of typhoid in 2006 which was on the high side compared to other years and with also a
corresponding increase of dysentery in 2008 with a value of 31.4% compared to a high case of diarrhea in
2007. Table 3 indicate that the incident of cholera in the various community was very low as presented with
a grand total of ten cases.


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Table 3. Water borne diseases in sampled communities
Year Typhoid Dysentery Diarrhea Cholera

M F Total % M F Total % M F Total % M F Total %
2006 162 131 293 27.6 2 6 8 22.8 18 70 38 23.8 3 2 5 50
2007 122 110 232 21.9 3 4 7 20 20 25 75 28.3 1 1 2 20
2008 115 101 216 20.3 5 6 11 31.4 12 15 27 16.9 1 2 3 30
2009 120 114 234 22.8 1 3 4 11.4 10 12 22 13.8 0 0 0 0
2010 98 86 184 17.3 3 2 5 14.2 10 17 27 16.9 0 0 0 0
Grand
total
617 542 1059 100 14 21 35 100 70 139 100 159 5 5 10 100


5.5 Water Quality Analysis

The water quality analysis of sampled points presented in table 4 shows eight hundred and seventy two
(872) conductivity level in borehole of Enosokwe which was very high compared to other sampled points
such as borehole located in Usumutong and Bazohure with five hundred and sixty two (562) and four
hundred and fifty (450) conductivity level. Table 4 revealed that streams in Usumutong and Bazohure have
twenty one (21) and twenty eight (28) conductivity level which was on the least side. However, table 4
indicate that residents in the area consumed low quality and unhygienic water. This was evidence in Rhohozi
stream (Usumutong) with a colour of 86 units as against 5 to 50 units recommended by the US
Environmental Protection Agency (1994). In the same vein some water are hard these include the borehole
at Usumutong (204mg/1) Enosokwe-Ediba (260mg/1), Basohure (220mg/1) and the lola stream in Anong
(201mg/1) which are far above the recommended standard of 81-160mg/1. However, lola stream,
Usumutong and Rhohozi stream have aggressive taste which is capable of causing epidemic or diseases in
the area.

Table 4. Water quality analysis of selected water samples points in the study area

Parameters Water
samples Water
temperature
Dissolve
oxygen
Total
dissolved
solid
Total
hardness
PH
unit
Apparent
colour
Odour Taste Conductivity
River 26.5 3.8 27.0 18.5 7.06 8 Odourless Nill 53
Borehole
Anong
26.7 3.8 18.8 18.5 6.25 2 Odourless Nill 36
Tap
Ebom
26.7 3.3 47.0 28.0 0.26 0 Odourless Nill 92
Borehole
Usumutong
26.6 3.6 28.2 204.0 7.09 0 Odourless Mild 562
Borehole-
Enosokwe,
Ediba
26.5 3.1 43.6 260.0 7.09 0 Odourless Mild 872
Borehole-
Bazonure
26.7 3.8 25.5 230.0 7.90 0 Odourless Mild 450
Lola stream
Anong
25.7 3.1 40.3 204.0 7.00 2 Odourless Aggressive 80.6
Tap-
Igonigoni
26.6 3.1 54.0 37.0 7.17 23 Odourless Aggressive 107
Phohozi 26.7 3.8 11.0 18.5 6.27 86 Odourless Aggressive 21

450
stream-
Usumutong
Bazohure
Isazen
stream
27.1 3.9 14.5 37.0 5.35 0 Odourless Nill 28


6. Result Analysis

The result obtained in hypothesis one shows F-value of 4.62 (calculated) which was critical F-value of 3.04
(tabulated) at 0.05 significant level. The result shows that the (H0) hypothesis was rejected while the (H1)
was upheld. This however, indicate that the variables of water temperature and total hardness among others
(water quality) have a significant relationship with the various sources at which water is obtained at different
sample points. For instance, Igonigoni and Ebom relies mostly on streams and boreholes, Usumutong relies
on taps and streams while Ediba relies on boreholes and river as their major source of domestic water
supply. Water temperature fell within the average of 26.5
0
in all sample points but with a variation in
hardness across the various study points.

Table 5. Analysis of water quality consumed in the area

N X SD Sign. 0.05
95 24.01 2.04 Critical F-value
161 25.07 3.07
155 26.06
400 23.95 F-calculated
Sources of variation SS df Ms 4.62
Between group 32.62 2 14.31
Within group 1071.36 388 2.82
Total 1111.97 389

Source: Data analysis (2011)

Table 6 which shows regression coefficient showing the various impacts of the independent variables and the
relationship that exist between the variables indicate -2.772 value and a corresponding 0.000 at 0.05
significant level. This result revealed that distance was a major determinant factor affecting the quality of
water available to rural dwellers in the area. The analysis of variance which was used to compared the
mean value of the variable presented in table7 shows 4.60 calculated value and a critical value of 3.60 at
0.05 significant level. This result revealed that since the calculated value of 4.60 was greater than tabulated
value at 0.05 level of significantly, the (H0) which states that the social cost (distance, time and price) has no
significant relationship with the quality of water available to household was rejected while the H1 (alternate
hypothesis) was upheld. Therefore, the result revealed that there is a significant relationship with the quality
of water available to household and the social cost which include distance, time and price in the area.


451
Table 6. Regression coefficient showing the impacts of independent and dependent variables

Unstandardized
coefficients
Unstandardized
coefficients
Model
B Std. Error Beta
t Sig
1. (constants) 9.060 1.251 0.040 000
Distance .362 .344 0.62 -2.772 000
Price -23E-02 .230 -0.10 -.155 .785
Time -2.387 .601 -.274 1.012 .208
Model value Sum of square df Mean square f.
Regression 272.832 3 81.311 4.60
Residual 318.067 186 15.276
Total 590.899 189

Source: Data analysis (2011)

7. Recommendations

The menace of water supply and scarcity in Abi local government area has become an issue of concern to
many stakeholders. However, inadequate drinking water supply and sanitation facilities constitute a key
issue of water problem in Bhahumono communities. Therefore, this research put forward the following
recommendations if the problem of water consumption must be tackled in the area.
- The various stakeholder involved in water management should provide a workable machinery that
would help determine the cause of shortage of water supply in the area.
- Independent bodies should be taken to determine the extent of pollution in the various sampled
locations.
- Water board charge with domestic water supply should undertake an intensive water treatment before
supply to domestic users

8. Conclusion

The quality of water consumption is determine base on its physico-chemical elements. In Bhahumono
communities in Abi local Government Area, most trace elements were found to be within WHO maximum
permissible levels. It was observed that most samples from locations indicated a high levels of iron (fe) and
cadmium (cd) which were said to be polluted by these two elements. However, it is hope that the above
mentioned recommendations would help avert the problem of water supply and scarcity in the area.

References

Ayabande, B. (1983). Water resource: A geography of Nigeria development, Heinemann, pp321-333.
Ayoade, J. O. (1975). On water resources development in Nigeria Nigeria Journal of economic and social studies. Vol. 7, No.1
Ayoade, J. O. (1981). Clean water for the third world water supply and management. Vol. , no.3, pp, 245-251
Battises, M. (1976). Water needs and nature resources.
Doorukamp, J. C. (1982). The physical basis for planning in the third world. Third world planning review, vol.4, No.1, Liverpool.
Liverpool university press. Pp.11-30.
Ekop, O. B. (1994). Spatial variations in quality and quantity of public water supply. In Calabar municipality, Nigeria. Nigeria journal of
technical education. Vol. 11, No.1, pp.107-125.
Ekpoh, I. J. (2003). Environmental continuity and change, St. Pauls Publishing and printing Co., Calabar Nyene.
Ewa, E. E. (2011). Environmental Impact assessment of borehole water quality in Calabar for Intels (Nig) Ltd, Cross River State.
Eze, E. B. and Abue, M. A. (2003). Water resource management, Ushie Printers and publishing company, Calabar

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Ezeigbo , H. I. (1989). Ground water quality problems in parts of Imo State, Nigeria: Nigeria Journal of mining and geology. Vol. 2, No.2,
pp.1-9.
Ezeigbo, H. I. (1989). Groundwater quality problems in part of Imo State, Nigeria. Nigeria Journal of mining and geology, vol.2, No.1
and 2, pp1-9.
Miller, G. T. (Jr) (1982). Living in the environment (3
rd
ed). Wadsworth publishing. Co. Belmont, California.
Shipman, H. R. (1967) Water supply problems in developing countries Journal of the American works Association, Vol, 59, No.7, 767-
772.
Smith, G. (2000). Conservation of national resources, John Willey and Song Inco. New York. Pp141-154.
Stanton, S. M. (1974). Water population American chemical society. Vol. 4-7. Pp. 237-262.
Umoh, M. J. (1984). The problems of domestic water supply in Calabar municipality. Ushie Printers and publishing company, Calabar.


453

Philosophical Hermeneutics: A Path to Intercultural Understanding Through Translation

Ehsan Panahbar *
Azizollah Dabaghi**

Azadi Sq., University of Isfahan,
Faculty of Foreign Languages, Translation Studies Department, Isfahan, Iran.
*Tel: +98 9386490303; Email: epanahbar@yahoo.com
**Tel: +98 9131044974; Email: azizollahd@hotmail.com

Doi: 10.5901/mjss.2012.03.01.453

Abstract In philosophical hermeneutics, the thoughts of Gadamer and Ricoeur about conditions of attaining to understanding
are of utmost interest. Gadamer, by proposing "fusion of horizons" and considering the prejudices of interpreter as basic factors
of interpreting and understanding of all phenomena, and Ricoeur, by believing that we as human being only can understand the
Self through understanding Other, have paved the paths to attaining intercultural understanding. This study tried to investigate
the fundamental role of translation in the intercultural understanding from the window of philosophical hermeneutics, because
according to Gadamer all understandings occur in language and this asserts that translation, as a linguistic and cultural
phenomenon, can, after catastrophe of Babel, take the hearts and tongues of scattered human beings close to each other and
as Ricoeur believes, humanity enjoys equivalence in spite of alterity.

Keywords: translation, philosophical hermeneutics, intercultural understanding, intercultural empathy, culture, civilization, Other,
Self.

1. Introduction

Ironically, some myths, however unbelievable, have consequences which are credible and real. After the
catastrophe of Babel by which the people were scattered in both languages and cultures, the nostalgic need
for returning to the time when all humanity had a single language caused people to think of paths for unity.
Travels began to discover lost parts of this single humanity and entered it to globalization and made it
identical to search for unity.
According to Smith (2000), entering the global era means both discovering physical lands and
connecting them in colonial time, and establishing a global market based on western values in post-colonial
era.( as cited in Yangsheng, 2009, p. 240). Although these factors may be essential for making connections
among different cultures and civilizations, they are not sufficient for making a united cultural humanity, as the
experiences of the two World Wars, rising and escalating terrorism, growth in diseases in world level such as
aids and the sinister global warming put assertion on it. In this world of dynamic equivalence, as well as
differences, agreement among cultures seems troublesome but inevitable.
To reach this agreement, we need interpreting and then understanding other cultures because without
understanding a phenomenon communicating with it is impossible and in case of cultures and civilizations
may lead to clashes. Hence, humanity needs paths through which it could be able to attain this
understanding and indeed agreement. This agreement and understanding after all needs language, the
phenomenon in which people seek for unity. But how language can help people? The answer can be a
mediator among languages.
The significance of translation in interconnecting people is so obvious that some scholars as Jumplet
name the 20
th
century as "age of translation" or Benjamin names it the "reproduction" (Newmark, 1981, p. 3)
and it seems that experiencing calamities in this dynamic world causes humanity to come closer to each
other by translation. It seems that humanity needs something more than mere connections to return to the

454
pure language and culture which one time under the aegis of a single community they enjoyed. They should
be able to understand each other underlined by a kind of hermeneutics. This issue may raise some
questions: how does this understanding occur by means of hermeneutics? What are the conditions of
attaining this understanding? Can this hermeneutical understanding occur in translation? In the present
article, it has been tried to identify the role of the intercultural understanding among different civilizations and
attaining intercultural empathy through approaches of philosophical hermeneutics and the significance which
translation has for reaching this understanding.

2. Language: Foundation for Intercultural Understanding

Newmark (1988) defines culture as "the way of life and its manifestations that are peculiar to a community
that uses a particular language as its means of expression" (p. 94). From this definition it can be concluded
that culture is identified by its manifestation and is embedded to the language of the community. Therefore,
for understanding a culture it is necessary to consider what is made manifest through religion, myth,
literature, and language and so on. By this, admittedly, having culture means acting and experiencing cultural
phenomena.
Phenomenology, a philosophical school introduced by Husserl, is in search for independent
investigation and knowledge to experiences and observations (phenomenon) which directly come to our
experience. Husserl asserts that for attaining a valid interpretation of phenomenon we should release
ourselves from all pre-judgments and pre-assumptions. In case of interpretation, Husserl's phenomenology
has a basic role in distinguishing the intended objects of consciousness and the consciousness of such
objects or our psychical acts (Honderich, 1995, p. 382).
Accordingly, for interpreting and understanding cultural phenomena which are manifested in language,
the intended meaning (our psychical acts) and the object meant by it is distinguishable. The intended
meaning and the object intended have not correlate in a real, out-there world for cultural phenomenon to be
meaningful. In fact, there are many expressions whose intended objects do not occur or exist in the real
world such as mystical creatures, but the expressions containing them are meaningful and understandable to
the people of that culture (Mueller-Vollmer, 2006, p. 30).
However, for reaching cultural understanding, the notion of language is fundamental as Humboldt
argues that humans can understand each other because they produce (erzeugen) and understand speech
(Rede) according to the same underlying principles: those of the mind and those embodied in the grammar of
the language which they share. (ibid, p.14). Hence, Interpretation for Humboldt is based on an active
linguistic competence shared between speaker and listener. "One can understand a word which one hears
only because one could have spoken it oneself," (ibid.p.13, 14). In fact Humboldt believes that the deep
structure (competence) underlying the language performance of occurred in a dialogue is a major factor in
coproduction of meaning and interpretation.
More radically, Gadamer believes that all understandings occur in language-event or through language.
Therefore, the path to attaining cultural understanding in order to prevent from any clash in human societies
according to Gadamer is a common language in which "the point is no longer the fact that I think this and you
think that, but rather it involves the shared interpretation of the world which makes moral and social solidarity
possible"(Gadamer, 2007, p. 96). By this it may be concluded that the interpretation and understanding of
culture is analogous to interpretation of text. In fact, as texts manifest their meaning through their syntax,
signs, context and etc. the culture also manifests itself through signs, language, myth, structure. Hence, both
of them can be understandable by similar methods through interpreting their signs. Therefore, the
assumptions underlying philosophical hermeneutics, especially those of Heidegger's, Gadamer's and
Ricoeur's are very significant for understanding cultures.


455
3. Philosophical Hermeneutics: Understanding Cultures under the Aegis of a Single Humanity

The key notion to hermeneutics especially philosophical one is the hermeneutic circle which notifies that art
and whole of an understandable phenomenon are interrelated to each other. In fact, for understanding the
whole part of a text, the sentences should be understood. But at the same time the understanding of the
sentence is dependent on the understanding of both words and the whole text itself. "Thus the movement of
understanding is constantly from the whole to the part and back to the whole"( Gadamer, 2004, p. 291).
Accordingly, for understanding humanity as a single whole needs understanding its part i.e. different
languages and cultures. On the other hand, these scattered parts need a single whole to become
understood. It should be noted that humanity as a single whole also interrelates to history which embraces
humanity as its part. Hence, the interrelation of this whole-part results in understanding of a different culture,
humanity, and history.
But according to Gadamer (2004), attaining an understanding requires fore-projection of meaning for
the thing to be understood. In fact, the person who wants to understand the thing is equipped "with particular
expectations in regard to a certain meaning. Working out this fore-projection, which is constantly revised in
terms of what emerges as he penetrates into the meaning, is understanding what is there" (ibid, p. 296).
Gadamer believes that an interpreter is susceptible to misunderstanding when he is distorted from fore-
meanings which are not relevant to the things (text or cultural signs) themselves (ibid, p. 270). Therefore, the
cultural interpreter faces a kind of misunderstanding which could lead to clashes of cultures and civilizations.
In fact, when he works out these fore-meanings correctly and in a process of hermeneutic movement guides
his prejudgments (not presumptions) to the right path which is guided by the horizons of the thing to be
interpreted per se, he can remove any harmful prejudices which hinder valid interpretations and consequently
cultural understanding.
In case of any understanding, according to Heidegger, the interpreter always is projecting the meaning
initiated by his fore-meanings and fore-structures which themselves are constructed or in a better term raised
by the horizons projected by the thing. (ibid, p. 296). This hermeneutic circle is constantly revised in a
hermeneutic movement toward reaching a "fusion of horizons" and cultural understanding. Attaining an
understanding does not occur in a vacuum, or as Gadamer argues in an arbitrary way.
On the other hand, we cannot blindly approach to understanding cultural phenomena without knowing
our own fore-meanings about them. Our fore-meanings are foundations for a valid interpretation, but the
cultural interpreter is bound to his situatedness and socio-cultural stances in order to project these fore-
structures to the horizons of the text. In fact our own fore-meanings are as windows which can prevent the
fresh air of the Other or can facilitate passing of this fresh air to the amort culture. Gadamer (2004) asserts
the importance of prejudgments in understanding:

"Of course this does not mean that when we listen to someone or read a book we must forget all our fore-meanings
concerning the content and all our own ideas. All that is asked is that we remain open to the meaning of the other
person or text. But this openness always includes our situating the other meaning in relation to the whole of our own
meanings or ourselves in relation to it."(p. 271)

On the other hand, understanding involves in dialogues among the interpreter (in the receiver culture) and
the object to be understood (the other culture). This is a fundamental prerequisite for every valid
understanding. "Conversation is a process of coming to an understanding. Thus it belongs to every true
conversation that each person opens himself to the other, truly accepts his point of view as valid and
transposes himself into the other to such an extent that he understands not the particular individual but what
he says."(Gadamer, 2004, p. 387)
For Gadamer who sees understanding as conversation and dialogue, attaining agreement in this
dialogue is of high importance because each dialogue occurs in hope of agreement and if the dialogue leads
to no agreement, it means that the mutual understanding has been abortive. Gadamer believes that

456
"Understanding is, primarily, agreement (Verstandnis ist zunachst Einverstandnis). Thus people usually
understand (verstehen) each other immediately, or they make themselves understood (verstandigen sich)
with a view toward reaching agreement (Einverstandnis)."(ibid, p. 180)
Hence, in order to know our culture we should, as Heidegger argues in a phenomenological way,
release our fore-structures of understanding of ourselves and our culture in understanding "what is there" or
another culture's signs (objects to be understood) which is the other side of a hermeneutical dialogue.
Gadamer's approach to hermeneutics is conducted to the trilogy of language, understanding, and
dialogue. He, in his philosophical hermeneutics, tries to establish his ontological principles of interpreter's
understanding and transference of meaning through prejudgments to the readers of the text. Gadamer was
the first one who asserted that all human understandings are in fact a kind of interpretation by stating that the
human mind is always in a state of hermeneutical interpretation to the environment round him. In this case,
an interpreter is caught among his" situatedness" (socio-cultural situation) and always interprets the world
based on that "situatedness". By this he believes that the text basically does not have any established
meaning by itself and its interpretation is based on the socio-cultural and historical context which affects the
understanding mind of the interpreter.
"Gadamer views understanding as a matter of negotiation between oneself [one's horizons] and one's
partner[text] in the hermeneutical dialogue such that the process of understanding can be seen as a matter of
coming to an agreement about the matter at issue." (Hans-Georg Gadamer, sec. 2.2) Coming to such an
agreement means interpretation of a text which takes place between the interpreter's horizons (pre-
understanding) addressing some questions to the text and the responses elicited from the text's horizons.
This dialogue continues unto the horizons spread to the extent that a "fusion of horizons" occur which leads
to hermeneutical understanding.
Intercultural understanding requires this dialogue between cultures and civilizations and in
consequence a kind of "fusion of horizons" or "fusion of cultural heritages". In modern world the contact
among civilizations is inevitable to the extent that a kind of hermeneutical understanding of cultural signs and
symbols in order to expand our horizons into the target culture. Every culture has its own codification system
of signs that in the process of hermeneutical interpretation of target culture they should be de-codified and
received as something new in the source culture. Language in general and texts in particular are the most
salient codified cultural elements which by interpreting them and attaining a kind of understanding and
allowing them to be expanded into the source culture, the challenges of clashes among civilization would be
removed. Human being, the Dasein in Heidegger's words, for knowing himself should be exposed to the
Other. The translation of these signs and making them understandable for the source culture is one of the
most powerful substances in the hands of human.
In the process of intercultural understanding, the question is not what the creators of culture means by
creating this kind of culture. Or even what it means by this kind of sign. In case of cultural hermeneutics, the
question is how much we are near to this culture and how much we can expand the target culture's signs into
our culture and make a kind of "fusion of horizons".
This kind of cultural hermeneutics is dependent to our prejudgments determined by our socio-cultural
situation. Therefore, attaining a cultural understanding is in fact is a process of "make-it-to-one's" or letting
the target culture becomes part of the source culture. Therefore, any intercultural understanding inevitably
involves a kind of "hermeneutic circle" seen as expressing the way in which all understanding was always
already given over to that which is to be understood (to the things themselves).(SPE, 2003)
Paul Ricoeur(1913- 2005) the French philosopher starts his hermeneutical stances by criticizing the
direct and independent understanding of Dasein (human existence).He argues that Being of human(Self) is
understood and known directly and without mediation but it be interpreted and understood by indirect and
dependent relations (Other) which include texts, signs, myths and etc. In fact, Ricoeur's hermeneutics is
founded on this basis that understanding Self is something much more than a subject which by solely relying
itself can attain an understanding. This means that understanding cannot be attained through direct

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reference to the very potentials of the Self, but it should be in search of Other to be the mirror of the Self for
understanding. "Here he spoke of a soi that passes beyond the illusory confines of the moi and discovers its
meaning in and through the linguistic mediations of signs and symbols, stories and ideologies, metaphors
and myths."(Kearney, 2004, p. x). Therefore for knowing one's culture and its realia we should transcend
beyond ourselves and look at our culture in the mirror of other culture.
For Ricoeur, the task of hermeneutics was to show how existence arrives at expression, and later again at
reflection, through the perpetual exploration of the significations that emerge in the symbolic works of culture.
More particularly, human existence only becomes a self by retrieving meanings which first reside outside of
itself in the social institutions and cultural monuments in which the life of the spirit is inscribed.(ibid)

4. Translation: A Shortcut to Intercultural Understanding

The myth of Babel tells us clearly that we, as human beings, are not united at least in the notion of language,
hence diversity of languages: "Therefore is the name of it called Babel; because the Lord did there confound
the language of all the earth: and from thence did the Lord scatter them abroad upon the face of all the
earth"(Genesis, 11:9 of 32). Believe this catastrophic event or not, human being faced the problem of
understanding each other, then like each problem hit him, human being searched for a solution, a means for
interpretation of the messages: translation. From then on, translation was the cross road to connect world
views, minds, and hearts each of which, according to the myth, was unified between people of the world.
According to the Holy Bible the empathy among people causes that they imagined of building a tower to
reach the heaven and endanger the all-embracing power of the Lord. But what is the cause of this empathy?
As the Holy Bible says it was the one-language among people that united them to offend the Domain of the
Lord: " And the Lord said, Behold, the people is one, and they have all one language; and this they begin to
do: and now nothing will be restrained from them, which they have imagined to do."(Genesis, 11:5 of 32)
The Holy Quran, on the other hand, asserts this empathy among humanity although it accepts the scattered
humanity:" O Mankind, We have created you from a male and female, and set you up nations and tribes so
you may recognize [and cooperate with] one another."(The Holy Quran 49: 13) In fact The Holy Quran
identifies this scattering as the prerequisite of communal unity of people, benevolence of the Lord to the
people to know each other, to interpret their culture, to respect their differences, not as their disagreement,
misunderstanding and quarrel. (Tabatabaei, 1988, p. 202). If according to the Holy Quran humanity is one, in
real situation we see that languages are many. Hence this is a great obstacle to the empathy among this
single humanity.
Implications of these Holy Words threw light on linguistics and translation theory. This gives rise to
interpretive definition of translation. Accordingly, to some scholars, especially hermeneutical ones, translation
is an act of interpretation which participates in afterlife of the Other, therefore; translation is innovative as
much it give birth to the Other to shine through, to be interpreted as possible (Venuti, 2000, p. 11). From this
the definition of translation becomes more general than conveying messages only. Even more general
definition of translation is that of "interpretation of any sign; 'to understand is to translate' ". (Ricoeur, 2004, p.
11) .Gadmer (2004), in a definition similar to other hermeneutic scholars argues that "every translation is at
the same time an interpretation. We can even say that the translation is the culmination of the interpretation
that the translator has made of the words given him." (p. 386).
By these definitions it can be given that in every act of translation the translators in fact make
understandable to themselves the hidden meanings. The interpretive definitions of translation give this
chance to translation theory to expand its scope while it goes beyond conveying the message only to
conveying the culture and world of the other as well. Therefore in case of intercultural understanding, in fact
we are translating the Other to the Self through "fusion of horizons".
In fact, translation is the place where every unknown cultural phenomenon becomes understandable by
a kind hermeneutic circle in which a translator equipped with his prejudices approaches the other culture to

458
first interpret and then understand it. In this hermeneutic circle the translation make facile the dialogue among
cultures, a dialogue which starts from the horizons of the receptor culture (the Self) and elicits the Other's
horizons. It is in the domain of translation where the hermeneutic circle leads to agreement among cultural
horizons. "Gadamer views understanding as a matter of negotiation between oneself [one's horizons] and
one's partner[text] in the hermeneutical dialogue such that the process of understanding can be seen as a
matter of coming to an agreement about the matter at issue." (Hans-Georg Gadamer, sec. 2.2) Coming to
such an agreement means interpretation of a text which takes place between the interpreter's horizons (pre-
understanding) addressing some questions to the text and the responses elicited from the text's horizons.
This dialogue continues unto the horizons spread to the extent that a "fusion of horizons" occurs which leads
to hermeneutical understanding.
Gadamer(2004) believes that "Language is the medium in which substantive understanding and
agreement take place between two people"(p. 386). The case of translation makes this cultural dialogue
feasible in the way which translation becomes the linguistic mediator for people of different cultures to reach
an agreement on the subject matter. Translation is itself an interpretive act in which an understanding takes
place between two different cultures. Hence, if we accept that every understanding takes place through
language, in case of two different languages, we only stocked with translation. It is in translation where
different horizons (worldviews) are merged and intercultural understanding occurs. Hence, every act of
translation is an act of hermeneutics.
Translation has the potentiality of creativity by delving the Other to be relieved for Self to be interpreted
and understood. Benjamin complaints that "our translators have a far greater reverence for the usage of their
own language than for the spirit of the foreign works []. The basic error of the translator is that he preserves
the state in which his own language happens to be instead of allowing his language to be powerfully affected
by the foreign tongue." (Benjamin, 2000, p. 20). Accordingly, translation should not be stuck in the Self by
only communicating the messages between cultures and retaining a loose connection to them, because
intercultural understanding needs knowing the Other by accepting its foreignness and difference. No cultures
are identical, however all cultures are equivalent to each other. In fact the only thing which may make them
untranslatable to each other is "the looseness with which meaning attaches to them.''." (ibid, p. 23).
Steiner, in words similar to Benjamin's, describes the role of translation as" a teleological imperative, a
stubborn searching out of all the apertures, translucencies, sluice-gates through which the divided streams of
human speech pursue their destined return to a single sea."(Steiner as cited in Htim & Munday, 2004, p. 134)
Therefore, according to these scholars, the remedy is translation to make human being understandable
to each other, the role of translation as a cultural ambassador, something that travels to and fro among
cultures to convey messages which are unknown, to interpret the parts which are susceptible to
misunderstanding and as a result to the clash of civilizations. Hence, in this scattered time we need to return
to this nostalgic empathy, to return to the pure language to understand each other and attain an intercultural
understanding by the powerful role of translation.
But here a problem may arise which can be how much a language and culture is hospitable? Just
Ricoeur argues any good translation accepts some elements of openness to the Other and lets the other
shine in the self. This action results in linguistic hospitality which is nesting the word and world of the Other
into one's home (on translation, p, xvi) while this shining lights from the other may cause us to find the hidden
parts of ourselves and on the other hand we shed a light on the Other respectively and this action continues
to attain intercultural understanding through translation. The implications for this linguistic hospitality are
those of existing different languages and cultures which need a peacemaker as translation to reconcile them
and spread their horizons across borderlines (civilizations) as etymologically the word translation meaning
traveling across borderlines (trans- from Latin means across).
According to Ricouer this certification to inevitable variety of languages and cultures throughout the
globe implies the illusion of returning to the pure language After Babel. Variety is the basis on which humanity
is established. (Kearney, 2004, p. xvii). This argument is against the central notion asserted by Benjamin who

459
determines the task of translator "to release in his own language that pure language which is under the spell
of another, to liberate the language imprisoned in a work in his re-creation of work." (Benjamin, as cited in
Venuti, 2000, p. 22). In fact returning to a pure language by the act of translation is the fundamental concern
of Benjamin's philosophy of language, a belief which is more stuck in myths than in the reality of human life.
In a world founded on a dynamic equivalence, on differences for completion not quarrel and
misunderstanding in almost all aspect of human life, teleological standpoints like Benjamin's and Steiner's
seem absurd. Among these differences we need only agreement, empathy, dialogues between cultures and
civilizations through the fusion of horizons, openness to Other, hermeneutics of the self, and empathy which
require translation both at the inner and outer levels. As a consequence, translation has been the major
preoccupation for Ricoeur and his ethical hermeneutics of the Self-- knowing oneself through others-- so
what makes this possible is translation for three major reasons. First, how can we covey the meaning from
one culture to another? Second, are there any alterity or differences between the Self and the Other? Third,
why there is plurality of languages for a single humanity? (On paul ricouer , p 73)
Ricoeur's assertion of the unity of humanity is a path to the problem of intercultural understanding and
empathy among civilizations as he suggests linguistic hospitality and opens his arm to the catastrophe of
Babel and diversity of languages and cultures among people because he believes that what is unique for this
single humanity is creativity which allows him to translate-interpret cultures without neglecting the alterity by
the conviction that all languages are translatable.
"Certainly everything does not come out in a translation, but something always does. There is no
reason or probability that a linguistic system is untranslatable. The belief that the translation is feasible up to
a certain point is the affirmation that the foreigner is a man, the belief, in short, that communication is
possible."(Ricoeur as cited in Garcia, p.78)

5. Conclusion

Bassnette and Lefevere (1998) in their book, Constructing Cultures, argue that culture and translation are
interrelated to each other especially in today's global and internationalist world. In fact, investigations on both
of them are going to graft local cultures to the global one. They also argue that there are different common
investigations in which translation and culture are merged: "There needs to be a pooling of resources to
extend research into intercultural training and the implications of such training in today's world." (p. 138)
This interrelatedness of culture and translation occurred after a change in the paradigms of translation theory
and much more emphasis on longer units of translation and extra-textual led by movements in linguistics and
anthropology as sociolinguistics and cultural studies, hence cultural turn in translation theory and practice
came into force. As Bassnett (2007) argues: "The study of translation practice, we argued, had moved on and
the focus of attention needed to be on broader issues of context, history and convention not just on debating
the meaning of faithfulness in translation or what the term 'equivalence' might mean"( Kuhiwczak & Littau,
2007, p. 13).
This shift in translation paradigm has expanded the realm of translation theory to boundaries of cultures
and causes translation not only to convey linguistic messages among languages but also to make cultures
understandable to each other as well as to hold out an olive branch to the humanity. "In a paradigmatic
departure, the translation of [] became a transaction not between two languages, or a somewhat
mechanical sounding act of linguistic substitution as Catford had put it, but rather a more complex
negotiation between two cultures. " (Trivedi, 2007, p. 3).
Therefore humanity needs negotiation and dialogue because of differences. Analogously speaking, the
single humanity is like a puzzle with scattered parts. Each part has a potential to project the humanity
forward. Hence, humanity requires cooperation, agreement, and understanding to fulfill the unity of human
beings After Babel because
"[t]he problem of understanding is of increasing interest in recent years. Certainly this is not unrelated

460
to our very uneasy social and world-political situation and the sharp increase in tensions at the present time.
Everywhere one looks one finds that efforts to reach an understanding between zones within a nation,
between nations, blocks of nations, and between generations, are failing. It would seem that a common
language is lacking, and the concepts that generally serve as guidelines for discussionI have in mind, for
example, concepts like democracy and freedomonly function as emotional appeals that make
oppositions more rigid and the tensions more extremethe very tensions one is seeking to reduce."
(Gadamer, 2007)
These reasons are why Languages are always translated and retranslated; therefore, different cultures,
in an inexhaustible attempt, try to make understandable everything foreign to them. They need dialogues and
translations which provide this means with them and should take advantages the myth of Babel to merger
their horizons into Other by translation.
In fact, in translation the Other finds the opportunity to shine into the receptive culture and be its guest.
Translation is not a mere reproduction of another culture to the receptor culture but it serves as a forum for
different cultures to understand each other. Here it should be noted that understanding is something different
from adulating other culture as superior to one's own, understanding means respecting in spite of
appreciating differences. "To understand what a person says is [] to come to an understanding about the
subject matter, not to get inside another person and relive his [cultural] experiences (Erlebnisse)."(Gadamer,
2004, p. 385)
Hence, we have already the Tower of Babel, though virtual one, i.e. translation. By translation we can
enjoy our differences, alterity as well as equivalence. Therefore we should disencumber ourselves with any
trace of xenophobic misunderstandings. The act of translation is an adventure in an unknown land and
translator is a creative adventurer, who constructs comparables, who discovers the Self in the Other and let
the Other to shine in the Self by his benevolent linguistic and cultural hospitality (See on translation p, 36). "It
is in this resemblance or similarity in diversity created by the work of translation that the 'universal project' of
a single humanity and the multitude of cultures are reconciled."(Garcia, 2008, p. 81)

References

Bassnett, S. (2007). Culture and translation. In Kuhiwczak, P. & Littau, K. (Ed.) A companion to translation studies (pp. 13-23). Great
Britain: Cromwell Press.
Bassnett, S. & Lefevere, A. (1998). Constructing cultures. Great Britain: Cromwell Press.
Benjamin, W. (2000). The task of the translator: an introduction to the translation of Baudelaires Tableaux
Parisiens. In Venuti, L (Ed).The translation studies reader. (pp.15-25). London & New York: Routledge.
Gadamr, H. G. (2007). Language and understanding. In Palmer, R. E. (Ed.), The Gadamer reader (pp. 89-107). Evanston, Illinois:
Northwestern University Press.
Gadamar.H. G (2004).Weinsheimer. J, & Marshal, D, G. (Trans.). Truth and method. New York: Continuum.
Garcia, L. M. (2008). On Paul Ricoeur and the translation interpretation of cultures. Thesis eleven, 94, pp.72-87 august 2008 :retrieved
July 19, 2011, from http://the.sagepub.com/content/94/1/72
Hans-Georg Gadamer. (2009). In Stanford Encyclopedia of Philosophy (sec. 3.2). Retrieved March 10, 2011from
http://www.plato.stanford.edu/entries/gadamer/.
Hatim, B. & Munday, J. (2004). Translation: an advanced resource. London & New York: Routledge.
Honderich, T. (1995). Edmund Husserl. Oxford university press: unites states. 1995. In Honderich, T (Ed.). Oxford companion to
philosophy (pp. 382-385) United States: Oxford university press.
Mueller-Vollmer, K (2006). Introduction. In Mueller-Vollmer, K. (Ed.).The hermeneutics reader (pp. 1-53)New York: Continuum.
Newmark, P. (1981). Approaches to Translation. Oxford: Pergamon.
Newmark, p. (1988). A textbook of translation. London: Longman.
Ricouer, P. (2004) Brennan, E. (Trans.). On translation. London & New York: Routledge.
Tabatabaei, A. (1988). The interpretation of Quran. Musavi- Hamadani, M. (Trans.). Vol. 36. Tehran: Muhammadi publication cannon.
The Qur'an (2004). Irving, T.B. (Trans.). United States: Goodword Books.
Trivedi, H. (2007). Translating culture vs. cultural translation. Benjamins translation library, 71, 277-281.
Yangsheng, G. (2009). Theorizing the politics of translation in a global era: a Chinese perspective. The Translator, 5, 239-59.,
Number 2.


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The Women and Modern Society in Sex and the City: A Sociological Approach

Kalie Kerpaci

Aleksander Moisiu University, Albania
E-mail: kkerpaci@gmail.com

Denata Hoxha

Aleksander Moisiu University, Albania
E-mail: denahoxha@gmail.com

Martin Kuka

Catholic University of Leuven, Belgium
E-mail: kuka.mart@gmail.com

Doi: 10.5901/mjss.2012.03.01.461

Abstract This article is an attempt to analyze social phenomena represented through the daily discourse of four single white,
intelligent and rich New York women in their thirties in the central of the sitcom SC(hereafter SC). Main issue of this article is to
discover the social messages prevailed in this sitcom such as sexual release, the right of the woman to make her choices which
constitutes main issues of the third wave of feminist movement. SC provides the viewer with real female conversations about
questions of sex in a way that has typically been a male discourse on television. Using different sociological theoretical
reflections on modernity we try to explain the changes shaping the individual and the family relations, occurring within the
modern society. Through the four main characters of this sitcom, we try to present the fixation of women in modernity on
shopping, fashion, body and sexual relationships and how the kinship relations are replaced by those of friends. SC gives
emphasis on advertising latest fashions and restaurants, night clubs, coffee shops in certain places of New York City.

Keywords: modernity, feminism, individualism, sexuality, body, fashion.

1. Introduction

The situation comedy (sitcom) "SC" is based on the book with the same title written in 1996 by Candace
Bushnell. The book is a collection of columns that Bushnell published in The New York Observer. The sitcom
was first broadcasted on channel HBO (Home Box Office) in 1998, and for two consecutive broadcasting
seasons, it ranked on the top of the most viewed TV shows (Akass, McCabe, 2004: 3.4). In this situation
comedy or sitcom the comic, dramatic and romantic elements are amusingly intertwined. Sexual relationships
are experienced by the protagonists as romantic dramas, where caustic humour, as a way of dealing with the
situation, is always present. The central characters of SC are four rich women who live in Manhattan, New
York. All they want is to have fun in different bars, where everybody gets your name, but forgets it five
minutes later, and buy expensive shoes. Sex and sexual relations are the main issues of SC. In any other
sitcom there have been no women protagonists that talked so openly, freely and analytically about sexual
relations, sexual practices and men's body, i.e., subjects that had been taboos in the past. But SC does not
just signify the liberation of modern women regarding sex. It also represents the loneliness that exists in
modern society, and the constant struggle of women who seek romance and friendship in a relations (Auster,
2002: 53).
In the beginning of this article we develop the definition of sitcom and a very short history of this genre,
followed by the analysis of the SC and a critical assumption at the end.

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2. The Sitcom as a Particular Type of Television

The sitcom is a particular television program that its structure and content are simply known to the producers
and to the television viewers. Many theorists have tried to find a common definition for the sitcom. For
example, Larry Mintz defines the sitcom in this way: 30 minutes serial, focused on episodes that implicate
periodic characters (repeated) within the same case. This means we meet mostly the same people in the
same environment (setting). Episodes end with a solution of the situation: What get started in a given
episode, get developed, explained and resolved at the end of 30 minutes... The sitcom usually appears live
and it might have an element of meta-drama which means that while the laughter is recorded, the audience
realizes that a piece of theatre, a show or a comedy is on the air incarnating the comic activity. The most
important characteristic of a sitcom is its cyclical nature, which means that the routine can be disturbed, but
at the end of the episode it turns back to the previous state (Mintz 1985: 114-15). In this case, Mintz defines
the sitcom based on its structure leaving aside its contents. Mintz refers to the cyclical nature of sitcom as its
staple features, even though no taking into account the fact that this feature does not exist in the comedy
situation, neither in other kinds of television. Also in many sitcoms, the performances element is
ignored. This means that some of its episodes are independent from each other, but gain one more
connotation when we see it in connection with the previous episodes. Mintz notes that the sitcom could
exceed its limits, thus can be the annulment of the audiences inclusion, screenplays development, etc.
(Mills, 2005: 27).
Another theorist, Mitz, focuses his attention on the content and not on the structure of a television
program. He supports the opinion that the difference between the television programs depends on their
content. We can distinguish several different elements in a program from another by using the method of the
case management (theme). Therefore, what contributes to the differentiation of television programs is the
management of the case. The way the screenwriter chooses manage a specific case, defines and constitutes
the television program (Attallah, 1984: 229).
Steve Neal and Frank Krutnik almost share the same opinion when a program can be a sitcom. They
think that it is management of the narrative which determines whether a program is a sitcom and not the
narrative itself. According to them the sitcom is defined by its narrative structure which is stimulated by
humour. Their position comes into contrast with the opinion of Gerard Jones who believes that a sitcom has
always the same primary structure (Jones 1992: 3-4).
According to Brett Mills, Jones also makes the same mistake as Mintz because both of them leave out
the fact that this feature (structure) exists also in other television programs (Mills, 2005: 31). Despite the
efforts to define and explore the sitcom, according to Mick Eaton, only few theorists have dealt with this kind
of television program. First, it comes as a result of the way the television has been discussed through the
years; second, the unreliability that derives from its products; third, its institutional function and fourth from
the different ways, its products can be available (Attallah, 1984: 223).
However these few approaches have been not characterized by homogeneity in their theoretical
dimension. Sitcom can be an object of study to many theoretical approaches. One approach emphasizes the
economic dimension. This means that if the sitcom is successful, it can bring profits. Another approach would
be if the sitcom constitutes or does not constitute a contribution to the society. Nevertheless, a sitcom could
be considered as important due to the social content of its message (statement - social position) or whether it
is properly and beautifully expressed by the creative-artistic side. Another approach or view is to examine the
historical dimension of the sitcom, which is to classify the various forms of humour, or to detect its origin
through the cinematography, radio, theatre and varieties (Attallah, 1984: 223-4).
As mentioned earlier, this article is focused on the sitcom "SC" which has attracted the attention of many
social scientists because of its effort presenting the main characteristics of the modern society.


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2.1 A Brief History of Sitcom Development

The sitcom is positioned between "sketch comedy" and "Situation drama". Its creation comes as a result of
displacement of the famous comedians from the music halls (music salons) or varieties, first to the radio and
then to the television. Thus, the comedians do not have to spend time any more doing tours throughout the
country, for, via the new technology, the show of comic plots is achieved within three weeks. This transfer of
comedians from the music hall and radio varieties is associated with the changing of the performances way.
As a matter of fact the shows of these comedians were a chain of jokes which might have little or any at all
narrative structure as the sitcoms (Fisher, 1976). In this way, radio executives asked the actors and writers to
construct sketches that might have a narrative structure (Mills, 2005: 37). The success of comedy in radio,
especially in the decade of 1940 contributed to the displacement of the theatrical comedy to a television
one. This period was characterized as the classic years of American radio (Mills, 2005: 38).
The first television sitcom was Mary Kay and Johnny (1947-50) which was transmitted on the air for the
first time in 1947 by radio station Dumont and then broadcasted on network television by NBC in 1948. In the
decade of 1940 appear the first sitcoms which present the family life in fanny way, named as household
sitcoms or family sitcoms because they reflected fanny situations occurring inside the family. Usually these
comic situations express the conflict between the traditional and newer values and they also embody the
religious and national stereotypes. So for example in the centre of "The Life of Riley" is a worker who
represents the stereotype of a genial man who is looking for more righteousness in his life. (Roman, 2005)
Another sitcom trend comes to make as aware of the social changes during the decade of 1940 and
1950. After 2-nd World War in America, became evident the movement of a lot of people from working class
(mostly white) towards the suburban areas where was living the middle class. This movement brought a
change in their national identity. Hence, the television was transmitting suburbs description idealizing the
portraits of white middle-classes who had the means to buy consumer goods. A sitcom which describes
themes referring to family events in suburbs is "I Love Lucy" (1951-1957) (Morreale, 2003: 1, 4).
In the decade of 1960, sitcom was characterized by a diversity of the subjects. Now, the central theme
is not just the family space, but also the professional one in the city and suburbs. An example of this change
is "The Dick Van Dyke Show," which represents the liberal political climate emergence in the Kennedy
era. The aim of this serial was the modernization of the television image of the family sitcom (Morreale, 2003:
7-8). During this decade, and after appear the sitcoms that refer to families composed by monsters as "The
Monsters", vampires as "The Addams Family", witches as "Bewitched" and aliens as "Third Rock from the
Sun". These sitcoms care of questioning the modern suburban families, indicating that these families, as well
as modernity, development, science and logic are overshadowed by the dark forces of unreasonable
traditional society. (Creeber, 2001: 66). In the decade of 1970, sitcom becomes a place where are examined
social problems and issues which can be more easily faced in a comic context. For example "Mary Tyler
Moore" (1970) and "All in the Family" (1971) come to touch some social problems such as death, divorce,
alcohol that in the past were forbidden themes. (Morreale, 2003: 11, 12).
An important trial of this kind of television in the decade of 1980 and after is the criticism against the
idealisation of the nuclear family. Some of them have in centre the family relationships break-up and the
portrait of a single parent who raises the children alone, of a homosexual or a lesbian. Sitcoms of this kind
addressed to a younger age audience are "Friends", "SC", "The Young Ones", etc. (Creeber, 2001: 69).
Below follows an analysis of "SC" which illustrates the basic elements of modern society such as women's
liberation, break-ups of family relationships and the emphasis on fashion and sexual relationships.


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3. The Analysis of the Sitcom "SC"

3.1. The Protagonists in "SC"

Carrie Bradshaw
Carrie Bradshaw is a 30 years old writer who prepares the column titled "SC" for the "New York Star"
newspaper. Carrie tries to raise some questions about intimate and sexual relationships. She very soon
realizes that a large amount of the material used in her column has been served by her close friends
Charlotte, Samantha and Miranda. Their morning talks allow her to elaborate furthermore the issues related
to intimate relationships and sex. Each of them represents a certain view about sexual experiences and
failures of different dates. Each episode is built around Carrie who constantly seeks to touch and comment
new topics about sex in her column. Carrie shows a great interest in fashion and the way of her dressing its
a mix of styles. She shows to be obsessed with the shoes of Manolo Blahniks brand. This seems to become
more evident in one episode where a robber asks her to give to him her shoes while Carrie tries to persuade
him not to take the shoes because they are her favourites and are Manolo Blahniks brand.

Charlotte York
Charlotte York is a director of a museum in New York. Charlotte is characterized as the most conservative,
romantic and optimistic of all the girls. She thinks that in New York still exists the right husband (Mr. Right)
who is waiting for her and her friends. Charlotte has a good education and is really honest. She disagrees
with the way that Samantha refers to sex and consider it a immoral, vulgar and improper. For many years
Charlotte has a clear vision of the life she wants to have. She wishes to marry a handsome man who loves
and who also belongs to the elite of the society. She seems to have a traditional attitude about intimate
relationships and she believes in a relationship both partners should show great patience and also make
some concessions in order to reach a consensus. She, really, makes some concessions in her marriage with
Trey. Charlottes style is classic, not contemporary somewhat off mode. If you explore her wardrobe, you can
easily distinguish her particular way of life in the area of Park Avenue as well as her femininity.

Samantha Jones
Samantha Jones is the oldest one among her friends. She works in the field of public relations and is a very
successful professional. In most cases, she knows what she wants and gets what she wants. Samantha has
a lot of confidence in her abilities. This side of her personality is clearly manifested when she can easily find a
table in one of the most luxurious restaurants or have sex with a sexy guy whom she meets at any place.
Samanthas lovers belong to different social groups and she plays with their own rules. The personage of
Samantha comes to break the taboo related to sex which exists in the society and to bring up a new female
image quite different to what existed in the past. Samantha is not characterized as romantic and doesnt want
to have close relations with her lovers. Never seems to be in love with someone, only one time when she
falls in love with Richard Wright, the king of hotels. The word "marriage" does not exist in her vocabulary. She
enjoys her freedom as a single woman and doesnt regret for the choices she has made during her life.
Samantha through her style wants to show that she is a woman with a dynamic personality. During the work
time she wears suits with bold colours and at nights she appears with glowing clothing on to show her
explosive character.

Miranda Hobbes
Miranda Hobbes is a successful lawyer who appears as a smart woman and full of self-confidence. Miranda
is very proud of her achievements. She managed to become a partner in the firm where she was working and
to have her own apartment. Miranda acts like a tough, introverted and critical woman. She, in fact, is the
Carries voice of conscience always giving to her the proper advices. Without being panic, she agrees to play

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the role of single working mother even knowing that this would affect her ties with her friends and men. As a
practical woman, Miranda believes that fashion serves only to represent somebody at his own work and not
to follow its recent developments. In work, she wears suits fine designed and on weekends, usually prefers to
put on sportswear. In the evenings, when she gets out with her friends, she wears dresses associated with
unusual jewelleries.

3.2. Feminism in "SC"

Feminism and feminist presentation began to be important issues of television since the 1960 with the
"second wave" of feminist movement. During this period, feminist plea tried to release the female body from
the male control and violence. Simultaneously, it is worried about the real nature of the terms "woman" and
"man", "female" and "male", "femininity" and "masculinity", seeking the ontological basis of their sexual
difference (Schilling, 1993: 31, 33). Sitcoms having the woman on their focus are "The Mary Taylor Moore
Show," "Roseanne" and so on. These serials are a paradigm of feminism that are trying to show a liberated
woman who by her talks and her behaviour is providing the basic elements of the feminist movement.
In contrary, "SC" comes to show us not only one female character but four different female characters
who are affected significantly by the feminist movement. The fourth protagonists of this sitcom are white, rich,
heterosexual, elegant, attractive and seriously involved with sexual issues. Their origin and social position
gives them the luxury to analyse deeply their sexual life. Briefly, one can say that nothing else bothers them
excepts topics about sex and men. Miranda, in one of the episodes, criticizes the inability of her friends who
cannot talk about any other topic but only referring to men. She wonders if everything revolves around men,
neglecting themselves.
The "SC" is also focused on the phenomenon of the female friendship, solidarity and
togetherness. Through this serial becomes very obvious the great importance given to the friendship. The
mornings conversations on weekends between the four girls contribute to their self-understanding. The
kinship and family relations are replaced by the friendly ones giving emphasis on the personal relationships
which according to Anthony Giddens, constitute the basic functional axis of the contemporary man trust
(Giddens, 1991: 84). The friendship of the four girls functions as a family that provides love, care and trust
among its members and as well as financial support. In one episode, Charlotte gives to Carrie her expensive
engagement ring to help Carrie to buy the house she had rented. A complete portrait of their friendship with
such elements like solidarity, love, financial support that correspond to the family, appears in the episode
where Charlotte get married for the first time. While the girls stay close to each other on the stairs of the
church to make photographs, Carrie believes that it is difficult to find someone to love you regardless of
whatever may happen. She feels fortunate that she has such good friends.
The most important achievement of the third wave of feminism is the womans right to make her
choices. The "third wave" of feminism criticizes the second wave of accepting a particular feminist agenda.
In contrary, "third wave" aims on individualism and on individual determinations of women. In this way,
focusing on woman's individuality, the "third wave" of feminism is limited to one issue which is the
choice. (Akass & McCabe, 2004: 71). According to the theorist Peter Berger, the human being in modernity
has the possibility of multiple choices which offer him various options (atsis, 2004: 66). So in "SC, these
girls have the opportunity to make their own choices. Thus, in unexpected way, Miranda finds out that she is
pregnant and her first thought is abortion. She discusses that issue with her friends to get their advice.
Samantha shares with her friends her experience of two abortions she had done in her past. Carrie had done
an abortion too. As a result of these discussions Miranda changes her mind and decides to keep the baby. At
this point, "SC" does not break the taboo of stigma on abortion, but in meantime it makes visible the women's
freedom to make her own choice. Another example which mirrors this key element of modernity is the choice
of Charlottes to resign from her work in order to devote all her time to the family. The friends advise her not to
make this decision, but she insists it is her choice and no one can prejudge her. The marital life and the

466
single life are two choices one can make in his life. Charlotte wants to be married again although her first
marriage failed in a very short time. She gets remarried and tries to convince her friends to make this choice
too. However, Miranda, Carrie and Samantha choose not to get marry and it becomes clear at the moment
when Charlotte throws the bouquet of flowers of her second marriage and none of her friends try to catch the
bouquet. Samantha is totally against marriage and shows no interest in this institution, while Miranda
chooses to raise a child without being married to his father. It is very interesting the reaction of Carrie when
she looks at the ring that her boyfriend, Aidan bought to propose her to marry him. She goes in the toilet and
vomits. Miranda proposes to her to go into an old fashion bridal gowns store in order to overcome this
reaction. To Carrie seems to be a good idea, thinking that this could help her to manage her marriage
phobia. Both of them go to the store and start to try some dresses on. Inside the fitting room Carrie suffers
breathlessness and gets panic while her whole body gets with red spots. Finally, Carrie declared that her
body symbolically rejects the notion of marriage and the gene of dressing as a bride is going to disappear
inside her. She makes her choice when she decides not to accept Aidans marriage proposal.
Many feminists of third wave perceive the sexual liberation as one of the basic rights that has the same
importance as their right to vote. So "SC" highlights the important position that the sexual satisfaction has in
women's lives. The womens right to sexual pleasure is expressed better through Samanthas character,
which constantly seeks pleasure from sexual relations, in most cases very short, for these many and various
relationships give her a sex variety. But the fourth of them require from their relationship to have the sexual
pleasure. In one episode Miranda breaks up with her boyfriend because he does not satisfy her sexually, and
she did not get the orgasm.

3.3. The Romanticism and the Loneliness in "SC"

In the traditional society the women believed that one day would come their Blue Prince who would make
them feel protected and loved. The aim of the feminist movement was to free the women from the mentality
of traditional society. More specifically, the second wave of feminism claims that the Blue Prince is a
patriarchal myth, that keeps them inactive and dependent on the power of men and that they do not need him
to feel happy (Akass & McCabe, 2004: 17). In the contemporary society, the definition of Mr. Right (the
suitable one) is a painful process. In the shift "SC", Carrie asks her friends if there is an ideal husband in the
society they live. Charlotte answered like a disappointed romantic, Miranda as a hopelessly cynical, and
Samantha believes that in reality Mr. Right is an illusion. Carrie wonders if all women are so cynical that do
not care any longer of romance. According to classical romantic novels, a man is the Mr. Right when he says
these two phrases: "I love you! Will you marry me? and when the woman dreams and is devoted significantly
to this man. Sometimes, romantic love can change someone and can make believe someone that he can
change. (Akass & McCabe, 2004: 17).
The serial shift "SC" plays with romantic antagonistic models of masculinity that are inherent in the
construction of Mr. Right image. Initially, this is demonstrated through the imaginary plans that Carrie does
for Mr. Big and Aidan. Mr. Big symbolizes a passionate sexual excitement, while Aidan symbolizes the
security, commitment and sustainability. These two men, each of them appearing as a unique and attractive
model, make Carrie to ask herself whom of them is the Mr. Right. Carrie likes the passionate feeling, Big
gives her but on the other hand she wants to be rescued by Aidan who allows her to enter deeply into his life
in contrast with Big who keeps her out of his life. According to Miranda, Aidan is the proper partner for Carrie
because he shows respect, care and love to her. Finally, Carrie is in a dilemma and constantly reconsiders
her relationship with Big who makes her discover her addiction to a romance that never ends. After her
break-up with Aidan and detachment from Big, Carrie wonders if does exist the Mr. Right, and if she has lost
her chance to find him. In all episodes of "SC" is perceived the loneliness in the lives of the protagonists.
The four protagonists live alone, and feel that it is necessary to live with someone in order to avoid the
feeling of fear and loneliness during the evenings. Miranda buys an apartment in a building with old people

467
living in it. One day, she learns that in her building an old woman who was living alone, was found dead one
week after she had died. Miranda discusses this thing with her friends and she expresses the fear that she is
most likely to have the same end with her neighbour. At the beginning, her friends, Carrie and Charlotte did
not want to think about it, but then started to wonder if it would be better to cohabit with a man. Only
Samantha disagrees with them, insisting that she needs a man only when she cannot be able to close the
back zip of her dress. Miranda tried once to cohabit with her friend boyfriend, Steven. But during this period,
she found out that it is not easy to live with a man who works as bartender, because when he comes home
late every night wakes her up and falls asleep as a dead body while mornings when Miranda has to go to
work, he wants to have sex with her. The same Carrie thinks too when she accepts Aidan's proposal to be
transferred at her home. When Aidan brings all his belongings in her house, Curry gets panicked by the idea
that someone else will enter in her space and she must compromise with it. Charlotte advices both that if they
decide to cohabit with a man that they love, they have to make compromises and concessions for only in this
way they will be able to have a happy relationship. According to Charlotte if they do so, then their boyfriends
will act the same way. This is better demonstrated in one of the episodes when Aidan asks Carrie to go for a
weekend at his home in the village. Carrie does not like the village-life and proposes to Aidan to make a deal
that she will go to the village only on Sunday mornings and return back to New York at the evenings. Aidan
accepts this deal by giving up his desire to stay with Carrie in the village for the whole weekend.

3.4. The "Dirty" and Clean Bodies in "S C"

In the contemporary society is paid attention to the appearance of man. So Bryan Turner in 1992 uses the
term "somatic Society," to show that the body in modernity is the major concern of political and cultural
activity (Turner, 1996: 1). This fact is best manifested in mass media, dealing extensively with the themes
that refer to the body, such as: the body image, the plastic surgery and how to get a young, sexy and
beautiful body. This young, sexy and beautiful body is the dominant model in "SC. Dominant social groups
are women and men who show great interest in appearance and try to have a slim and beautiful body. It
should be noted also that these groups of people belong to the high social class.
Mary Douglas observes that bodies which do not have these characteristics are considered as
undesirable and as a result are isolated from the dominant social group. The work of Douglas became
distinguished for its emphasis to the notion of change, neglecting the uniformity and homogeneity. Douglas
speaks about clean and dirty bodies; the clean bodies are identified as normal and accepted by the modern
society whereas the dirty bodies are perceived as deviant and undesirable. She supports that this division is
not a native attribute of people, but is constructed by the society itself (Douglas, 1966). Steve, a former friend
of Miranda loses a testicle due to genital organs cancer. He feels ashamed and very sorry for this part of his
body. Steve confesses to Miranda his fear of not being attractive any more to women and he goes on by
saying that women would abondon him when find out about it. Miranda to convince him that he is still
attractive although with one testicle, decides to have sex with him and eventually she gets pregnant exactly
with him. During her pregnancy, Miranda feels that she has lost her physical attraction. She complains to her
friends that she cannot wear elegant clothes and cannot have sex, because men avoid dating a pregnant
woman. She also believes that because of her current condition her friends avoid her too and dont invite her
to hang out at evenings. Miranda continues to be isolated due to her dirty body even after childbirth. She is
convinced that the child and work are the main faces that follow her everywhere. Carrie, who is her closest
friend, feels that she cannot talk with Miranda in the way they did it before, because she doesnt show any
slice of interest for the topics that Carrie raises about the relationships. When Carrie tries to talk to her,
Miranda is taking care of her baby. She does not even look at Carries eyes and often changes the
conversation. According to Carrie, Miranda is no longer available. Miranda decides to follow a diet program
in order to become an accepted and desirable body by the modern society. In this program she meets Tom
who is worried and overweight. He also wants to have a slim body, because women are not attracted to

468
him. Mirandas relationship with Tom is too short because Miranda finds out that Tom is fat by his nature and
does not even try to lose a pound, although he feels inferior to his body. So she decides to get rid of him. The
obsession for her body ends when she finally one evening she fitted on her old jeans again. That evening,
wearing these jeans, she felt more attractive and sexy than ever before. Finally, Miranda is regaining her old
life.
Another character in "SC" who feels inferior to his external appearance is Harry, Charlottes lawyer who
quickly wins her love which ends to a happy marriage. Harry is bald and has hair all over his body. Charlotte
calls him "My Little Bear". Harry is aware of his hairy body and this makes him feel like a monster. One day,
he goes to a beauty salon and depilates all his back so as to look handsome to his beautiful wife.
The post-modern theories of deconstruction, constructivism, phenomenology and feminism perceive the
body like something unstable, changing and uncertain, which is experienced, constituted
and reconstituted through continuous modifications, adjustments and transformations (Makrinioti, 2004: 15).
In "SC", this is expressed through Samanthas character, concerned with keeping her body in shape and
fighting the face wrinkles. Samantha goes regularly to a plastic surgery clinic and makes
Botox. Continuously, she keeps saying to her friends not to make faces because it causes the increase face
wrinkles

3.5. Fashion in "SC"

The theorist Jean Baudrillard analyzes the world of fashion as a paradigm of the domination of the dressing
code. In fashion everything is a simple game of signs that do not refer to any particular system. Baudrillard
believes that fashion does not refer to something in particular and does not lead to any direction. Fashion
does not produce something, just reproduces the code. It doesnt contain any value or morality and it tends
to spread as a virus or cancer. Fashion produces what modernity theorists call "pastiche". It is essentially a
world of illusion that plays with the terms such as: good and bad, logical and unreasonable. Fashion in
modernity has no ideology and no purpose (Ritzer, 1997: 94). The feminist Judith Butler rejects the dogma
that fashion is a stable identity. The identity is formed through actions, gestures and body signs (Akass,
McCabe, 2004: 116-7).
According to Giddens theory, the individual in contemporary society creates, above all, himself. His
identity is continuously constructed and is found in a re - reflective process where the body also is
included. The occupation with the body is a long process for every individual that has to deal with health,
aesthetics, longevity and sexuality. Giddens also refers to the possibility that the modernity offers to the
individuals to be expressed in self-defined way
(Tatsis, 2004: 101).
Fashion is one of those opportunities by which the individual manage to express himself. Fashion in "SC"
receives a special significance and constitutes an integral part of it. In all the episodes of this sitcom, the
protagonists find themselves in a re-reflective state and keeps constantly trying to reconstruct their identity,
external appearance and also the way they dress.
Carrie, the main protagonist of "SC" finds a greater pleasure in fashion than her three other friends.
According to her, fashion is a mean to express individuality and is New York which offers to her this
opportunity. This city which is characterized as anonymous enables an individual to experiment with his
external appearance. The development of her character is manifested by the fashion she follows. She prefers
to wear mixed dresses of various designers. Once she appears as romantic and capricious girl and another
time as a mature, polite and very confident woman.
Charlotte, in contrary to Carrie, is presented as an optimistic and hopefulness American with a classic
and old fashioned style. She symbolizes the conservative American fashion. Although she wears in an
archaic way, she doesnt stop being sexually wanted. Her erotic femininity is shown through her dresses that
cause an interaction between the exposure and modesty.

469
Samantha uses the fashion to show her bodys qualities and her sexual availability. Her suits express her
dominant character and through her attitude toward sex, her masculine characteristics become obvious.
Mirandas style is defined by her professional personality and is interpreted as a typical dressing style of
successful women belonging to the contemporary feminist movement. Carrie and Charlotte represent
femininity while Samantha and Miranda seem to be less compatible with their gender roles.

4. Conclusions and Critics

"SC" is addressed to an audience of young ages and deals specifically with the issue of women's sexual
liberation. In antithesis to the other sitcoms where only one model of woman has been introduced such as "I
Love Lucy", "SC" has in its centre four different womens character who represent among other things the
sexual liberation of a woman in the contemporary society. These four women are successful, elegant and
beautiful and pay a significant attention to their sexual satisfaction. The ability of Carrie and her three friends
to cope with social problems call the viewers attention. These women just talk about their intimate and social
problems and not try to analyze or change them. Their gatherings are like a group therapy meetings where
each of them expresses freely any problems that may bother her.
"SC belongs to the group of sitcoms of the decade of 1980 and thereafter that criticize the idealization
of nuclear family. Main characteristic in the traditional form of sitcom is the family, where each character
initiates his role and creates problematic situations which are resolved at the end with humour. In "SC", the
biological family is replaced by the friendship of four women who do not live together, but offer psychological,
friendly and financial support to each other. A sitcom can be considered very important for the social
messages that it transmits. So "SC" is a sitcom that contributes to the society by introducing key issues that
constitute a complexity of problems of the feminist movement and important aspects of modernity.
The feminist movement focuses its attention on women's liberation from the male domination and from
the traditional societys taboos, declaring that woman does not need a man to feel happy. The feminist
movement made possible to the women to make their own choices and to speak openly about intimacy and
sexual intercourses. In modernity the individual appears to be alone, re-reflecting and reconstructing his
identity. The right of making ones choice helps him in defining himself.
In "SC", fashion acts like an opportunity that helps the individual to express himself. Also, the body in
modernity is perceived like something unstable, changing and uncertain, which is experienced, constituted
and reconstituted through continuous modifications, adjustments and transformations. "SC" may be
understood as a part of the historical development of the type of sitcom which addresses itself to the feminine
identity, sexuality, work and womens community.
This sitcom also includes some elements of the job. Jobs position and the entire city are home to
Carrie. She gets out her columns information by her own and her close friends experiences. In the serial,
does not seem to exist a hierarchical antagonistic relationship among the friends because Carrie works at
home and her friends work at various jobs.
Substantially, "SC" can be compared to a drama for it is focused on the free investigation of sexuality
and refers to issues of independence, especially the female character and can be also compared to a soap
opera regarding couples formation. Humour in "SC "is demonstrated through the dialogs between the friends
sharing with each other their experiences with men, or through the inner voice of Carrie. Usually, their
conversations are interrupted by a funny comment about men, which also causes the change of the topics
conversation. It is not difficult for someone to recognize the limits of the sitcom, at least those observed in
"SC". This sitcom refers only to one type of woman (white, elegant, beautiful, tall and rich), leaving out a very
large part of female community. Therefore, this aspiration of womans liberation is associated closely with this
type of women. In neither case, SC would be able to represent a unique message of female liberation.


470

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Turner, S, B. (1996). The Body and society. London: Sage Publication.
atsis, . (2004). . . (Modernity and Social Change. Sociological
Approaches, in Greek). Athens: Nisos.


471

Framing of Drone Attacks in Pakistani Elite Press:
A Comparative Study of Dawn and the Nation

Sajjad Ahmed Paracha

Assistant Professor, Dept. of Communication Studies,
Islamia University, Bahawalpur

Fatima Imran

Research Associate, Dept. of Mass Communication,
Bahauddin Zakariya University, Multan

Muhammad Ashraf Khan

Chairman, Dept. of Mass Communication,
Bahauddin Zakariya University, Multan, Pakistan
Email: drmak00@yahoo.com

Doi: 10.5901/mjss.2012.03.01.471

Abstract This study is a test of media framing theory, which asserts that there is some cognitive structure lies in mind, which
leads the perception of anyone. These frames are created intentionally and sometimes, the reader himself makes them.
Pakistan is at stake after 9/11 and is continuously trying to explain before the world as well as before the people of Pakistan that
she doesnt have any link with Al-Qaeda and terrorism. To make the world believe her position, Pakistan had to become the ally
in war on terror but still the people of Pakistan are facing much destruction in the shape of drone attacks. Being in such crucial
position, Pakistani media frame these air strikes negatively. This study is a semantic and narrative analysis of the editorials of
The Nation and Dawn. A total number of 82 editorials were analyzed, 65(79.26%)of daily The Nation while 17 (20.73%)editorials
of daily Dawn. The results prove the H1, which describe that The Nation frame drone attacks more negative than Dawn.

Keywords: Drones attacks, predator, reaper, UAVs, FATA, Waziristan, war on terror

1. Introduction

It is proved by the 9/11-commission report (2001) that none of the 9/11 terrorists was Pakistani. But Mass
(2010) quotes Obamas views about Pakistan Pakistan--- a nuclear power with a fragile civilian government,
a dominant military with an intelligence service that supports militants, we need to make clear to people that
the Cancer is in Pakistan.
It is awfully disappointing that despite being a strong ally, Pakistan had to face so many destructions,
not just in her territory but also she has to face so many scratches on her image and the poor people of
Pakistan are still facing this brutality in the form of drones. On 23
rd
January 2008, the presidents 3
rd
day of
joining and the same day first 2 air strikes of Obama administration, were killed twenty people. In 1
st
strike,
four Arabs, all steadily affiliated with Al Qaeda, died. But in the second strike, the drone targeted the house,
hitting the residence of a pro-government tribal leader of Wana, in South Waziristan. The blast killed the tribal
leaders whole family, including three children. According to the New American Foundation, the total number
of drones in Obamas first nine and half months in office, is equal to the air strikes in the last three years of
the Bush regime, most of the victims being innocent civilians (Mayer, 2010).


472
1.1. Drones

Pilot less Aircraft, having so many other names like drones, sky warrior, predator, reaper and unmanned
aerial vehicles (UAVs), operated by the Pentagon, CIA and other US agencies of federal government. With
the help of spy cameras and detective apparatus the UAVs have the ability to reconnaissance/explore the
real-time information and the laser-guided missile and bombs to hunt the actual targets. Predator MQ-1 was
first targeted in 1995 and has been remained the most common in use (Tristam, 2009).

1.1.1. Merits of drones

1. Smaller than jet aircrafts to put out of sight.
2. Less expensive than fighter jet.
3. Have no risk of pilot's life
4. Training for UAVs is less expensive than jet fighters.
5. Have the ability to strike accurately even it can target a single room in a house
6. Invisible to Radar.
The ratio of using these drones has been increased with the passage of time by the military as a successful
weapon. Military Budget of USA 2010 includes approximately 3.5 billion for UAVs.

1.1.2. Demerits of drones

Although it is a versatile weapon to strike targets as well as gathering information but
1: They have unreliable cameras.
1. 2: They lose communication links in rain
3: The time span of lurking is less than expectations.
4: They perform well only in daytime and clear weather. Fog, moisture, rain, snow frost and crosswinds
can badly affect the drones' technical skills.
5: Low altitude of drones for escaping the range of Radar, these can be shot or fired by the ground enemy
(Tristam, 2009).
History of UAVs starts from the World War II (1939-1945), when the "radio plane" has been used as a target
for navel anti-aircraft gunners (Benolkin, 2004). History says that cruise missile; special-operations raids and
drones are the common tactics or weapons used by USA (Zenko, 2010).
Unmanned drone aircraft are the most impressive striking aircraft in new world of weapons. This seven
ton weaponized spy plane can easily fire the target and it is invisible to radar. History shows that drones from
the spy craft to sheepherders, they are growing faster and make it a full kingdom of these wily birds so called
name are "Demon, vultures and reapers, 24 countries fly presently (Hagermann 2010).
The MQ1-B armed predator has the ability to carry on Hellfire missiles and the MQ-9 Reaper (predator B)
can upload with hell fire missile as well as Laser guided bombs. The command of these UAVs is in the hand
of CIA which awaiting the directions from the executives of White House (IISS, 2010).
US have launched these drones against Iraq, Yemen and Pakistan while Israel has used drones over the
Palestinians in Gaza. The drone technology is relatively cheap technology even the small countries
proliferate drones. Many drones companies offer low-cost turnkey drone rental programs and providing
trainer if needed (Rozoff, 2010).
Hagerman quotes Singer, P.W "Last year, the US air force trained more UAVs pilots than fighters and
bomber pilots combined"(Hagerman, 2010). While Pakistan has multifaceted strategy regarding drones in
FATA .It gives the logistic support to launch drones from its own air bases, on the other hand Pakistan has
continuously protested against these drones, which undermine the sovereignty of Pakistan, if Islamabad had
not informed by CIA of the expected strikes (IISS, 2010).

473
According to the New American Foundation (2010) estimated total deaths from US Predator strikes in
Pakistan.
2004-2010 = 1338---2144

Estimated Militant deaths from US predator strikes in Pakistan

2004-2010 = 1062---1709

US strikes by target form 2004-2010
Taliban - 87
Baitulla Mehsud - 17
Al-Qaeda - 32
Haqqani - 28
Other /unclear - 84

U.S. Drone Strikes 2004 2010

The most targeted area of Pakistan is FATA:
The Federally Administered Tribal Areas consist of seven Tribal Areas and are called the agencies, which are
from north to south:
- Bajaur Agency
- Mohmand Agency
- Khyber Agency
- Orakzai Agency
- Kurram Agency
- North Waziristan Agency
- South Waziristan Agency (Amnesty international, 2010).


474

There are complex motives behind drone strikes, one of the purposes is to control the attacks of Taliban on
US troops and second is to punish the local militant network who gives protection to Al-Qaeda militants. An
American official says "The C.I.A. has drastically increased its bombing campaign in the mountains of
Pakistan in recent weeks". The purpose of these strikes is to cripple down the Taliban against the attacks on
US troops in Afghanistan. American officials are of the view that Pakistani Government has not been serious
enough to wipe out these militants from its state.
They (govt/politicions) are not taking serious actions to wipe out these insurgents from Waziristan and
they made their army busy on the other matters of the country. It is evident that US has also used helicopters
despite drones, to target some of the Pakistani and Afghani Tribal areas and killed estimated 50 people
having suspected link with Haqani group. It was claimed that those strikes were in the self defense while the
militants fired rocket from the grounds, just across the border near Afghanistan.Gen.David H. Petraeus, the
top American commander in Afghanistan, warned Pakistan to "DO MORE and help out American to launch
some unilateral ground operations in tribal areas of north Waziristan (Mazetti and Schmitt, 2010).
On the other side US doesnt have feeling of war for Pakistan but does have negative sentiments for
Al-Qaeda members and Taliban, which have thought to be hidden in the safe heavens of Pakistani areas
(Layalina Review, 2010).
Stewart and Birsel analyze after reading the 9 months of Obama administration had launched 39
drones in Pakistan specially target killing of Baitullah Mehsud in August 2009 that was a big success of CIA.
Pakistan has been affected by 2 ways, the open violation of sovereignty of Pakistan and the deaths of poor
civilians. CIA is continuing using these robotic drones, to save the life of USA's pilot thousands of miles away
(Stewart and Birsel, 2009).
A news story had been published in The Nation on May 6,2010 about drones that instead of targeting
only suspected militants CIA has been striking drones against training camps, houses and so many other
places of tribal areas of Pakistan near the border of Afghanistan (The Nation, 2010).
Gamage quotes the UN special reporter on Extra judicial Executions that these attacks may violate the
international human rights .In the same analysis Alston discusses the Chief Legal Counselor of Obama's
Administration Harold Koh says that these attacks were within the international law and had not violated the

475
human rights. He further concludes the result of New America Foundation that 32% were the poor people
victimized by the drones (Gamage, 2010).
Here we read different views about drones all over the world. In this study the researcher is going to
find out the frame regarding drones, developed by Pakistani print media with the help of editorial treatment,
as we know the key role of editorial for image building.

2. Review of Literature

Taj (2010) claims after her reviewing the report of New American Foundation that the ratio of 32% of the poor
civilians is not accurate. She is of the view that its just a panic creating by the Pakistani media.
Ditz (2010) make knows the study of Brain William, concluded that drones are the liberators for
tribesman. He claims that a big majority is really against the predator attacks but a solid majority is in the
favour. The study concludes that 52 percent of respondents felt the strikes were accurate; 58 percent thought
they did not cause anti-American sentiment; 60 percent felt militants were "damaged" by the strikes; and 70
percent thought the Pakistani military should carry out its own strikes against the terrorists.
Kix (2010) analysis William's study in his article and concludes that 52% tribesman felt that strikes are
accurate, while 58% say that they dont have anti American feelings, 60% tells that militants were destroyed.
The study "accuracy of the drone attacks" proves that the ratio of militants death over civilian death is 10:1.
Fricker, Plaw and Williams (2010) describe in their research paper '' New Light on the Accuracy of the
CIA's Predator Drone Campaign in Pakistan'' that the portrayal of death ratio of civilians in media
/newspapers is different from the actual number of causalities. They are of the view that it is difficult to
differentiate whether the victim is civilian or militant. They made a new category ''unknown'' and put all the
unknown data into it. According to their research, a total number of 127 drone attacks in FATA, out of 1247
only 44(3.5%) were confirmed as civilians while 963(77.2) were reported as militants, while the remaining 240
individuals have pushed in the unknown category.
Ellen OConnell (2010) a professor at Notre Dame Law School, analyzes in a research paper titled
Unlawful Killing with Combat Drones that the international law relevant to United States use of drones to
carry out attacks in Pakistan starting in 2004 through 2009. Her study shows clearly that the use of drones by
America is an open violation of international human rights law. She is of the view that the people of Pakistan
must take some steps to make realize the government and to bring them to halt instead of victimized by the
crucial statements of United States. She criticized the media also by giving bias statements regarding drones.
Khokar (2010) describes that according to the Internal CIA and military memos, civilian casualties in the
war on terrorism were far higher than reported. Drones, so constantly used, often went wrong due to the
faulty intelligence information, killing hundreds of innocent civilians, including women and children. Most of
these attacks were carried out on the basis of intelligence, believing, the tribesmen on the both sides of the
border have provided this information.
Gamage (2010) concludes after analyzing various studies about drones that, outside of armed conflict,
killings by the CIA would constitute extrajudicial executions assuming that they do not comply with human
rights law. If so, they must be investigated and prosecuted both by the US and the State in which the
wrongful killing occurred. He criticizes Obama administrations Chief Legal Counsel Harold Hongju Koh who
declared that U.S. targeting practices, including lethal operations conducted with the use of unmanned aerial
vehicles, comply with all applicable law, including the laws of war.
Shachtman (2009) quotes Leon Panetta the CIA director refers to the predator program the only game
in town. He further gives credit to drones to kill more than a dozen Al-Qaida leaders and their allies in past
year, which were highly targeted by America while Cressey (2010) The former National Security council
official described that these are not very much fruitful of striking missile on the backs of militants, the ordinary
people or the low-level guys have been targeted while the leaders have been saved. On the other hand
Herold (2008) quotes Benjamin acknowledges that the civilian casualties in Afghan and Pakistan are not

476
accidents on mistakes, she is of the view that these are predicted deaths, which are the results from careful
calculation by the US military attorneys.
Mass (2010) analyses different newspapers of the world and concludes that the international media
propagate against Pakistan and Muslims as Daily Mail writes that Pakistani militants were involved in
planning terror in Europe and London and the rumor of bomb scare in Eiffel Tower and Paris is one of the
conspiracies of Pakistani Taliban. Same as Wall Street Journal quotes US counter terrorism official "you have
folks increasingly concerned about :Is it not just Europe that needs to be careful, but is there a threat here as
well?" It is evident by his statement that Pakistan must have some link with Al-Qaeda and militants. He says
"Thats why we have been striking with precisionpeople and facilities that are part of these conspiracies---
We have also been hitting groups planning to cross the border to kill people in Afghanistan or in Pakistan
itself".
Mayor (2009) quotes Bruce Riedel, former CIA officer and a senior fellow at the Saban Center for
Middle East Policy at the Brookings Institution. Riedel tries to explain the drawbacks of drones in his article
Is the drones programs helping or hurting that the US considers these drones as the only way to put the
pressure on Pakistan and Afghanistan but these are just like a beehive, which produces more bees.
According to the IISS (2010) that drone attacks are disturbing the operational capabilities of Al-Qaeda;
however there are some controversies lay between the international lawyer and human rights as well as
between population and government, for using this unilateral use of drone while on the other hand US is of
the view that these attacks are being launched in self defense from under governed or ungoverned regions of
Pakistan.
Rozoff (2010) discusses in details that due to the continuous and increased number of drone strike in
South Waziristan, the people are living in panic and anxiety, sleepless due to the night fear of strikes and
hyper vigilance. He further says that an estimate number of victims by drones are more than the causalities
of the disastrous flood in 2010. Rozoff further describe the detail and types of drones in his article and relates
drone with a machine, which can recognize faces, behaviors and individual conversation also.
Northam (2009) quotes Seth Jones, a south Asian expert at the Rand Corporation that Most of these
have been done with cooperation from Pakistani authorities in the national security establishment, the military
as well as the intelligence. He analyses views and reviews of different experts and think tanks. He reveals the
views of Stephen Cohen of the brooking Institution's foreign policy studies program that drones are accurate
with good intelligence and the majority killed by drones is believed to be militants due to the target area
specified by drone itself; the collateral damage is lesser than that of the different warheads and missiles.
Stephen called it a mechanical monster and he further says that Pakistan is unable to make the sovereignty
in the tribal regions and thats why these are the lawless areas of militants. He says that its an open territory
and by the international law one can attack over ungoverned territory.

2.1. Review on Media Framing

Theory of framing is the primary foundation of this study. Media messages are assumed to affect the
audience. A slightest change in the presentation of contents can change the public attitude at a huge scale.
This study will investigate the semantic and narrative contents of national media.
Galtung (1992) observes the impact of geographic and cultural association of international news
treatment in U.S. media. He is of the view that these impacts can change the level of interest of the people of
different nations.
Frames are mental structures that help people understand reality, as they perceive it. Goffman (1974)
defines framing as the principles of organization, which govern social events.
Richardson (2006) concludes in his study that the non-Muslims sources use the negative frames for
Muslims in international reporting. He quotes Lester that the experiences of others determine and use again
and again in reporting.

477
According to Herman and Chomsky (2000), media frames can beautify as well as stain the whole picture
of incident. On the other hand Gitlin (1980), tags it significant social force which creates public approach.
Voltmer (2006) describes a dual sense role of media that it owns the strategy of selfishness by using its
target opinions to frame the information, as they want to listen; on the other hand media use its relation with
different political actors to frame the news according to their wish, to earn more and more. He is of the view
that media is the propagandist machine in the hands of politicians either running government or opposition.
Voltmer quotes Neumann that some of the media have marginal relations with situations as they just want to
earn from their target audience.
Mickiewicz (n.d) in his study Does trust mean attentions, comprehension, and acceptance? that most of
the people trust bluntly on mediated information because they dont have time to create links and to do
personal experiences and observations. But it is difficult to assume that how the broadcasters frame the
message and how public receive it? He is of the view that the Russian elites miscalculate, discriminate and
destruct the contents for a required frame of message, which can mold the public opinion and can
underestimate their receiving power.
Hess and Kalb (2003) quote Kathleen Hall and Paul Waldman that The metaphor of a frame ---a fixed
boarder that includes some things and exclude others describes the way information is arranged and
packaged in news stories. The story's frame determines what information is included and what is ignored"
Voltmer &Schmitt-Beck (n.d.) conclude in their study News democracies without citizen? Mass Media
and democratic orientationsa four country comparison, that the media negativism and political cynicism
have a close and implicit relation. They quote Ball-Rokeach and Defleur regarding media dependency
theory that in the period of economic insecurity and erosion of values, the orientation of public can easily be
altered by the media because the people more rely on the media as compare to other means.
Street (2006) tells in his book Mass Media Politics and democracies that media with the help of frame
play a role of catalyst, which can destroy the image of running government; institute, person as well as it can
mold this frame as the voice of people. Street (2001) defines the process of selection and narration is
captured by the idea of framing.
Entman (1997) says a frame operates to select and highlight some features of reality and obscures
others in a way that tells consistent story about problem their causes, moral, implications and remedies.


It is evident after reviewing the literature that how much our country has affected by these drone attacks.
There must be some solution that would stop this violence, and people must know about such kind of
diplomatic policies of both countries. With the help of media these dual policies can be visible.
This study will investigate that in which perspective Pakistani elite press portrayal these predator
attacks. What is the frame used by Pakistani media whether it is friend or foe, or it may show the neutral
stance. After reviewing

4. Research Questions

1. How did Pakistani press portray drone attacks?
2. Which type of frame was evident in the coverage of both newspapers?
3. To what extent the portray of drone attacks by the Dawn was different from that of The Nation?

4.1. Hypothesis

H1: The Nation frame drone attacks more negative than that of Dawn.

478
5. Method

The study is primarily a content analysis, comparing the frame of drone attacks between two Pakistani
dailies, Dawn and The Nation. A time period of one year has selected from January 2010 to December 2010
due to the rationale that number of drone attacks increased in the year 2010. This study is based on the
theory of Media Framing.
Editorials are considered to be the one of the most powerful tool to mold public opinion of high officials,
policy makers and general public.
The population of this research study includes all the editorials of the selected newspapers of 2010,
regarding drones.
A census was conducted due to the fact that only 65 editorials were written by The Nation and 17 by
Dawn on the subject under study.

5.1. Coding Unit

Each paragraph was coded in terms of slant and was categorized as positive, negative and neutral frame of
the coverage.
Paragraphs contains positive reflection, movement, assessments, testimonials, discussions and
impressions---depicts positive stance regarding drone attacks. Similarly the paragraphs that represent
negative picture, emotion, judgment, statements, discussions and imitation, illustrate negative stance of
drones, while all the paragraphs, which present neither positive nor negative have been considered as
neutral.

6. Findings

A total number of 82(100%) editorials were found in both Pakistani newspapers in which 65(79.26 %) were
from The Nation and a small number of 17(20.73%) were found from the Dawn regarding drone attacks. After
splitting these editorials, 231(100%) paragraphs were analyzed in which 179(77.48%) from The Nation while
52(22.5 %) from Dawn. The slant shows the result that The Nation presents no paragraph in favor of drones
while 94(52.5%) were unfavorable and 85(47.48 %) shows neutral stance towards the drone attacks. On the
other hand the slants of Dawn moves mostly towards neutral. There were no favorable, 23(44.23%)
unfavorable while 29(55.76%) neutral paragraphs regarding drone attacks. (See Table: 1)

Table: 1 Distribution of slant by Daily The Nation and Dawn

Newspapers Editorials
(N %)
Paragraphs (N %) Favorable
(N %)
Unfavorable (N %) Neutral
(N %)
Daily Dawn 17(20.73 %) 52 (22.5%) 0 (0.00 %) 23(44.23 %) 29(55.76 %)
The Nation 65(79.26 %) 179(77.48 %) 0 (0.00 %) 94(52.5%) 85(47.48 %)

479
Figure 1. Graphical presentation of slant
0
10
20
30
40
50
60
70
80
90
100
Favourable Unfavourable Neutral
DailyDawn
TheNation

First of all the difference between the numbers of editorials in both dailies, show the importance of the issue
in their policies. The graphical presentation clearly shows that Dawn has less coverage, and the neutral slant
of Dawn is higher than the unfavorable slant while The Nation gives more unfavorable slant than neutral.
Whereas both are not in favor of drone attacks. While comparing the results, The Nation is more against of
drone attacks than Dawn. In this regard the findings of the study support the H1---The nation frame drone
attacks more negative then Dawn, though it is close to the neutral behavior to some extent. (See fig: 1)

RQ 1: How did Pakistani press portray drone attacks?
Generally Pakistani press portrays drone attacks unfavourable and neutral, but not in favourable manners.
RQ 2: Which type of frame was evident in the coverage of both newspapers?
Both newspapers mostly had showed unfavorable frame or slant regarding drone attacks, as discussed
above the frame of favorable had not been appear even a single time.
RQ3: to which extent Dawn portrayal was different from The Nation?
There was a clear difference between the coverage of Dawn and The Nation. Dawn had bluntly very less
coverage regarding drone attacks. The number of editorials of Dawn is only 17(20.73%) of the total number
that is 82(100%) while the number of The Nations editorial were 65(79.26%). Same as Dawn framed drone
attacks more neutral 29(55.76%) than unfavourable 23(44.23%), which shows that Dawn had some neutral
policies regarding drone attacks. While The Nation had an open unfavourable frame of 94 (52.5%) regarding
drones and had a close slant of neutral frame 85 (47.48%) towards drone attacks, which depicts a balanced
policy to some extent.

7. Discussion

A lot of studies have shown that frame can mold the image, which already exists in someones mind. People
blindly trust the mediated information and with the help of frame they can understand reality and can select
the related one (Herman and Chomsky, 2000; Mickiewicz, n.d; Goffman, 1974; Street, 2006; Entman, 1997;
et. al).
As it has discussed above that the editorials have played a key role while using the frame to make,
generate and persuade people towards any issue, as well as it can change or mold the public opinion also.
Results prove the H1, which describe, daily The Nation frame drone attacks more negative than daily Dawn.
It is evident that Dawn frames drone attacks neutrally 29(55.76%) most. It depicts the neutral policy of Dawn

480
newspaper towards government, US and towards the killing of poor civilians. Although the frame of
unfavorable is quite near to the neutral stance but the less number of editorials regarding such issue shows
the less concern about drone attacks and the rigid policies of America.
On the other side The Nation has a clear frame of unfavorable 94(52.5%) regarding drones which
shows the more concern, feelings and sentiments towards killing of poor civilians, sovereignty of Pakistan,
humanity and the so called dual policies of America and Pakistan regarding drone attacks. Although it had
closed the neutral frame which shows the balanced approach towards government to some extent.
The words and phrases, which have used mostly to frame drone attacks and the users of drones
unfavorable are thanks to a joystick holder, forked tongue of US for drones, drone jeopardize country,
raining drones on Pakistan, death toll of drones reached higher, massacre by drones, deathly attacks,
maiming by drones, butchering the tribal population in FATA, Aerial incursions, ominous threat by drones,
butchering Pakistani citizens, murderous consequence of UAVs, and scapegoat Pakistani.
It is evident that none of 9/11 terrorists was Pakistani and the Afghan war didnt have direct concern
with Pakistan, then why has this brutality been doing with Pakistani people. These drones, in the name of
militants have targeted more than 2000 Pakistani. Its an open violation of human rights and is totally against
the international law of defense and security. The two-pronged strategy of Pakistani Government says that
drones are undermining the sovereignty of Pakistan while on the other hand it gives a full logistic support to
drones and NATO forces.
Pakistani media has to play a sincere role to portray drones in negative frame. It must be acted with
social responsibility, which provides accurate information regarding fatal issues.
As we know the Dawn is less concerned about drones issue as compare to The Nation. The total
number and slant shows the whole situation that Dawn has just a bird eye view regarding drones while The
Nation had played a great role to make public opinion.
American media is continuously trying to portray drones as a liberator of FATAs people from the
Taliban and Al-Qaeda. America is of the view that drones are helping out the people of Pakistan to overcome
the militants and she is denying constantly of the collateral damages and the causalities of poor civilians by
the deathly drones. Pakistan is also playing the two-pronged strategy for drones by giving logistic support
and providing air bases for launching drones. On the other side the government gives statements against
drones to cool down the sentiments of people of Pakistan.
Results safely reflect the frames, adopted by the both newspaper, which is more often unfavorable
than neutral by The Nation regarding drone attacks. At the same time Dawn is more often neutral than
unfavorable, which proved the H1 that---- The Nation frame drone attacks are more negative than Dawn.
Although both newspapers did not portray drones attacks favorably, even in a single paragraph.

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483

Floating World: Re-imagining Rhizomatic Identities in Jhumpa Lahiris The Namesake

Najmeh Nouri

Department of English literature, Tabriz Branch,
Islamic Azad University, Tabriz, Iran
E-mail: n.nouri67@gmail.com

Doi: 10.5901/mjss.2012.03.01.483
Abstract Intercultural dialogue has become increasingly important in the multicultural societies and the forms of cross cultural
communication are repeatedly reflected in mainstream fiction. The paradigm of diaspora in the United States has shifted from
the moved-to-here immigrants to born-here immigrants, from the longing for the re-turn to the authentic origin to the longing for
the emergence of a self-affirmative identity. This paper aims to examine Jhumpa Lahiris The Namesake (2003), from the
framework of transnationalism characterized by migration, transculturation, and hybridity in both first generation and second
generation of immigrants. It will mainly use Deleuzo-Guattarian theory of rhizomatic-styled becomings in dialogue with Rosi
Braidottis nomadic style to explore the ways in which Lahiri, as an immigrant writer gives her characters mainly the second
generation of immigrants the ability to take themselves so far away from arborescent schemas and constitute a form of hybrid
and rhizomatic identities. Then, within the theoretical framework of rhizomatic system, this paper will cast light upon the
emerging identity problems of the America-Born Indians in this novel. The findings revealed that Lahiri attempts to construct
transnational identities for immigrants, while locating and stabilizing them in the United States. Given the nature of the mobility of
people and their cultures across nations, she deterritorialize the definite national and cultural identities suggesting that
individuals cannot confine themselves within the narrow concept of national and cultural boundaries in this globalized world.

Keywords: Jhumpa Lahiri, Nomadic Identity, Transnationalism, Hybridity, Rhizome

1. Introduction

The Namesake is an example of writing by Asian American writer Jhumpa Lahiri that was published in 2003
and depicts the effects of migration and settlement on first and second generations. This paper will
investigate the representations of the experience of migration and settlement across generations and on the
ways in which the text tries to decentralize the identity of characters in a rhizomatic process. Stuart Hall has
argued persuasively that cultural identity can be seen in at least two ways: The first position defines cultural
identity, in terms of one, shared culture, a sort of collective one true self, hiding inside the many other, more
superficial or artificially imposed selves, which people with a shared history and ancestry hold in common.
Within the terms of this definition, our cultural identities reflect the common historical experiences and shared
cultural codes, which provide us, as one people, with stable, unchanging and continuous frames of
reference and meaning, beneath the shifting divisions and vicissitudes of our cultural history. (222) Halls
second approach to identity recognizes that as well as the many points of similarity, there are also critical
points of deep and significant difference, which constitute what we really are, or rather since history has
intervened what we have become (222).
Cultural identity in this second sense, is a matter of becoming as well as of being. It belongs to the
future as much as to the past (222). Deleuze and Guattari call the process of becoming as creative
involution. The word involution suggests the emergence of a symbiotic field that allows assignable relations
between disparate things to come into play. It is this block of becoming that represents the transversal
communication between heterogeneous populations, making becoming a rhizome and not a classificatory or
genealogical tree. The rhizome destabilizes the conventions of origins and endings and operates as an open
system designating, in the words of one commentator, a constructive feedback loop between independent

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information lineages, whether they be cultural, linguistic or scientific lineages or biological germ lines
(Pearson,186).
Lahiri, who is from immigrant ethnic minority background, developed a kind of desire that resists
territorialization and attempts to free the flux of energy generated by deterritorialization. In Deleuze and
Guattaris view desire constantly couples continuous flows and partial objects that are by nature fragmentary
and fragmented. Desire causes the current to flow; itself flows in turn, and breaks the flows (Anti-Oedipus, 5).
Desire, they claim, is revolutionary in its essence (116), like rhizome which give rise to mutations in
concrete assemblages (Pearson 31).

2. Identity and Belonging in the Second Generation

The United States has always been a hub for immigrants. Many people of different walks of life are migrating
to the United States from around the world. A re-vision of the contemporary United States depicts that, it is
not a static and insular territory but a participant in transnational relations. National borders are fought over
and redrawn materially as well as textually, further undermining any sense of a stable location. In this
context, the notion of space and identity in immigrant writers works has drawn the attention of many critics
and has become an imperative subject to explore. If novels that address first-generation migrant stories focus
on dislocation, poverty, racism, and the effects of cultural difference, fiction about growing up in United States
has a different emphasis, focusing more centrally on questions of identity and belonging.
While first-generation settlers display identities formed by their country of origin which may shift to varying
degrees through the changed and changing social relations of gender, class, and race in America , their
children are faced with achieving a positive sense of self as American in the face of many-faceted, endemic,
every day, and institutional discrimination. As in many American South Asian texts, it is the experience of
second-generation children who attend American schools and are directly exposed to American culture that
serves to put into question the ideas, values, and practices of first generation migrants to the USA. The rapid
growth and development of Asian-American literature has echoed the imminent re-turn of the multi-ethnic
literature as the repressed otherness to challenge the long dominance of canonical literature in the United
States.
It is undeniable that one of the essential human needs is the need of belonging to a permanent group.
Belonging to a particular permanent country allows one to eliminate or minimize the feelings of loneliness or
unhomliness in Homi Bhabhas sense. In this sense, the fixed and stable subject, bolstered by ownership and
the accoutrements of individualism, gives way to a more nomadic self, described by Braidotti, Deleuze and
Guattari (1986). In this figuration of the self, identity is a process, not a product, a practice marked by its
gestures toward others, and its own sites of formation. The nomad practices what Foucault has called
"counter-memory," "a memory that is activated against the stream" of forgetting injustice (Braidotti, 1994: 25).
The nomad works to develop peripheral consciousness. Glancing to the margins, it is not easy to forget
injustice. "The nomad is determined to destroy the state-form and the city form with which it collides"
(Deleuze & Guattari, 1986: 113). It resists assimilation into dominant ways of representing the self (Braidotti,
1994:30). Nomadic desire is essentially about connection and renewal. Actually, it resembles Deleuze and
Guattari idea of rhizome. There are six characteristics of the rhizome: connection, multiplicity, a-signifying
rupture, cartography, decalcomania (On the Line 11-25). That is, nomadic desire always eagerly unfolds its
rhizome-like multiplicity to connect with unknown potentiality in the pure immanent life plain. Therefore, it
constantly re-news itself in and through time, handing itself down from generation to generation with a shift
toward new paradigms. From this perspective, Braidottis theory of nomadic subjectivity can be seen as a
strategy for creating agency in response to phenomena of transdifference (Ganser, 28).
According to Deleuze, the subject is nothing other than its movement; its possessive identity is
perpetually contested and evolving owing to the fact that it becomes what it is in the context of constantly
changing and mobile relations between affective and affected bodies (Pearson 14). The productive and

485
affirmative synthesis of nomadic desire is thus inherently infinitean infinite progress. This two-handed
desire machine, one machine marks a new homeland territory while the other periodically erases the mark,
also illustrates the function of writing. In Kafka: Toward a Minor Literature, Deleuze and Guattari write:
Writing has a double function: to translate everything into assemblages and dismantle the assemblages. The
two are the same thing (47). If so, it can be argued that diasporic writing in general and Asian American
writing in specific with their schizo-desire often demonstrate just this kind of double function of the two-
handed machine. Writing as a cultural production has become an important site for exploring the
consequences of migration and the place of minorities in United States, as well as for the articulation of new
forms of identity.
The Namesake stresses the flow of people coming and going on the borderland that blurs the national
boundary and suggests hybrid and transnational identities. Similarly, Lahiri emphasizes not only the
immigrants who leave somewhere called home to make a new home in the United States but also the
endless process of comings and goings that create familial, cultural, linguistic and economic ties across
national borders. Her characters live in-between, straddling two worlds, making their identity transnational.
The Namesake is set against the backdrop of the 1970s and 1980s when Indian migration to the West (here
particularly the United States) was rampant due to the effect of rising globalization. It explores the conflicts of
Indian immigrants for both the first and second generation, spanning a time period of late 1960s to early
twenty-first century. American-born children of Indian parents, showing how they dwell between the
assumptions and dominant forms of the American society, on the one hand, and the values of their ancestral
homeland, on the other (Ashcroft ,130).
Throughout, The Namesake Lahiri repeatedly focuses on the clash between Indian culture and American
one, especially in the case of second generation immigrants. Through presenting the Indian background as a
heritage received from past and the present American life, they are seen trapped in the two conflicting sides
that never reconcile. Accordingly, the Indian culture represents the pedagogical telling us who they are,
whereas, the American one represents the performative reminding us who they are becoming. It is always
hard for American-Born children to put themselves in their parents shoes, trying to understand their parents
nomadic struggles to survive in a foreign land and their ever-increasing longing for cultural roots. While on
the other hand, their skin color and features are obvious signifiers of an outsider in the West, always force
them to accept the cast-iron fact that they are not simply what they think they areauthentic Americans.
This conflict, then, remains the core subject, reflecting their threshold position and Lahiri depicts this main
idea through different issues. For example, she illustrates that most second generation immigrants tend to be
detached from Indian culture; however they are inevitably bound up to that. This is highlighted in the second-
half of The Namesake (2003), when Gogol celebrates his twenty seventh birthday at his girlfriend Maxines
parents lake house in New Hampshire without his parents. Maxine and her mother Lydia throw a special
dinner to celebrate his birthday.
At dinner Gogol encounters Pamela, a middle-aged white woman who insists on viewing him as Indian,
despite his polite response that he is from Boston. One area from which the liminal state emerges is the
binary opposition of center/margin. Considering postcolonial context, marginality is the limitation of a
subject's access to power (Ashcroft, Griffiths and Tiffin 135). The marginal position of diasporic people,
including immigrants arises from different situations. For example, the idea of being considered as an inferior
as well as being in the minority culture lead to the exclusion of immigrants from the society.
In Lahiri's stories, marginality of the characters is represented through the idea that immigrants are
usually assumed to be on the periphery of culture, regarded as different and as outsiders in a foreign country.
Although Gogol is a naturalized citizen of the United States, he encounters the question where do you come
from? Pamela comments that Gogol must never get sick when he travels to India. When Gogol denies it, she
asserts, but youre an Indian . . . . Id think the climate wouldnt affect you, given your heritage (156).
Maxines mother corrects Pamela, asserting that Gogol is American; but in the end even she hesitates,
asking him if he actually was born in the United States (157). Even Gogols United States citizenship does

486
not guarantee his identity as an American. In a stereotypical reading, this tendency to categorize Gogol as an
Indian might be viewed as an example of Othering of Indian immigrants in the United States, where
individuals are identified according to their roots, rather than their country of residence or citizenship. Lahiris
characters displaced from their own homes and roots try to react through their rhizomatic deterritorialization
of dominant American culture.
However, The Namesake is a novel that celebrates the cultural hybridity resulting from globalization and
the interconnectedness of the modern world and rethinks conventional immigrant experiences. Lahiri is
aware of the existing problems of cultural diversity in the multicultural United States, and she argues that the
struggle to grasp a transnational identity becomes an urgent issue for immigrants in this environment. While
she represents Gogol as someone who is confused about his identity, she also presents Gogol as a
prototypical transnational agent who lives between two different worlds with the possibility of creating
multiplicity of identities.
The model of Deleuzian becoming that the rhizome brings into play has obvious affinities with recent
attempts within feminist and postcolonial theorizing to go beyond the genealogical prejudices of an
autochthonic politics of identity. Hybridization takes us so far away from arborescent schemas. Hybrids
involve the connection of points, but they do not facilitate the passing between points. A point remains
wedded to a point of origin. In rhizomatic-styled becomings becoming denotes the movement by which the
line frees itself from the point and renders points indiscernible (Pearson 190). Lahiris text demands for
possibilities of living differently. She produces new forms of identity in her characters who cross geographic,
cultural, and political borders and in a rhizomatic process constitute decentered and mobile identities for
themselves.
In fact, Lahiris characters live a complex existence that forces them to confront and rework different
hegemonic constructions of identity developed in their home or new nation state(s) and deterritorialize their
practices as well as their identities. For example, as Ashima and other Bengali immigrants in The Namesake
feel deterritorialized in the United States, they attempt to restructure the territory by starting to celebrate
Christian festivals in their own way. They celebrate Christmas and Thanksgivings the way they would
observe Hindu festivals like Dipawali and Durga Pooja. By doing so, they integrate US cultures with their
practices, creating a multiplicity of culture that crosses national boundaries.

3. The Construction of Nomadic Identity

Nomadic identity is defined in terms of processes of becoming. Through the theory of nomadic becomings or
plane of immanence, the subject is dissolved and re-grounded in an ecophilosophy of multiple belongings
(Braidotti, 2002: 44). It functions through border crossings, nomadic shifts and paths of deterritorialization.
The challenge is to destabilize dogmatic, hegemonic, exclusionary power structures at the very heart of the
identity structures of the dominant subject through rhizomic interventions. 'Flexible forms of citizenship' would
allow for all 'others', all kinds of hybrid citizens, to acquire legal status in a globalized world (66). In the
historical era of generalized nomadism, the figuration of the diaspora has gained the largest consensus in
pressing the paradox of uprooting and regrounding which is at the heart of the global political economy of
today (54). The main frame of reference is a transional cultural space of transitions and flows, which
expresses 'the overlapping and non-linear contact zones between natures and cultures: order, travel,
creolization, transculturation, hybridity and diaspora' (Clifford 303).
In her seminal work on the cartographies of diasporic social spaces, Avtar Brah (1996) argues that they
are sites of transition and change of people, information, cultures, commodities and capital. The diaspora
affects as much the roots of indigenous people as the routes of the itinerant subjects in the post-colonial
world order. Clifford comments: 'In the twentieth century, all or most communities have diasporic dimensions
(moments, tactics, practices, articulations) (Clifford 310).

487
Migrants, exiles, refugees have first-hand experience of the extent to which the process of
disidentification from familiar identities is linked to the pain of loss and uprooting. Diasporic subjects of all
kinds express the same sense of wound. Multilocality is the affirmative translation of this negative sense of
loss. The becoming-nomadic marks the process of positive transformation of the pain of loss into the active
production of multiple forms of belonging and complex allegiances. What is lost, in the sense of fixed origins,
is gained in an increased desire to belong, in a multiple rhizomic manner which transcends the classical
bilateralism of binary identity formations (90).
Nomadic becomings are rather the affirmation of the unalterably positive structure of difference, meant as
a multiple and complex process of transformation, a flux of multiple becomings, the play of complexity, or the
principle of not-One. Accordingly, the thinking subject is not the expression of in-depth inferiority, nor is it the
enactment of transcendental models of reflexive consciousness. According to Gatens and Lloyd (1999) this
nomadic becoming is an ethology, that is to say a process of expression, composition, selection, and
incorporation of forces aimed at positive transformation of the subject. (145)
Nomadic transformation is a process specifically that takes place among immigrants. In fact, immigration
itself is a phenomenon, which takes place in a global context. The connections between immigrants and their
home countries, as well as the political status of both home and host countries, affect the ways in which they
adjust to a new location. By representing her characters at the crossroad where both local and global spaces
meet and constant negation between different aspects of lives appear, Lahiri depicts a transnational space
for the Indian immigrants in the United States. Although the immigrants tenacity in clinging to the past is
obvious in such space, a constant negotiation between different identities, recasting the fixed identities is
seen as inevitable in The Namesake. Lahiri represents her characters struggling to balance the two worlds
that involve the issues of immigration, race, class and culture, she rejects and casts off Indias Third World
status as the Other and validates Indian immigrants presence in the United States.
Gogol, as a new nomadic subject, is caught in his envisioning of a multicultural American society. He is
constantly threatened by his very lack of a sense of deep-rooted subjecthood. The nomadic journey of a
search for the unknown self in an alien States presumes that Gogol, in trying to answer the call of the
unknown Other, is, in a manner of speaking, unfinished. In reality, all nomadic subjects are incomplete
beings, with many mysteries and hitherto unexplored parts of themselves, or of newness, that lie fallow all
their lives unless they actively and constantly keep their nomadic desiring-machine running. As the story
progresses, Gogol doesnt regain his Indianness as his parents expect nor does he victoriously switch to be
an authentic American.
Throughout The Namesake, Lahiri repeatedly focuses on the clash between Indian culture and American
one, especially in the case of second generation immigrants. Through presenting the Indian background as a
heritage received from past and the present American life, they are seen trapped in the two conflicting sides
that never reconcile. Accordingly, the Indian culture represents who they are, whereas, the American one
represents who they are becoming. Driven by his nomadic desire, Gogol, desires a new start, a new self, a
new identitya rebirth. He undergoes his nomadic becoming throughout the novel at different levels. Coming
from an Indian immigrant family, when he turns fourteen, he tries to take distance from his Indian culture and
lifestyle; he starts to hate his name. "What is the reason you wish to change your name, Mr. Ganguli?" the
judge asks. "I hate the name Gogol," he says. "I've always hated it." (Lahiri, 59). So, his parents decide to
give him a more public name. They chose Nikhil, shortly before leaving for college, he travels to the
courthouse and has his name legally changed to Nikhil Gogol Ganguli. But now that he's Nikhil it's easier to
ignore his parents, to tune out their concerns and pleas. With relief, he types his name at the tops of his
freshman papers. He reads the telephone messages his suitemates leave for Nikhil on assorted scraps in
their rooms. He opens up a checking account, writes his new name into course books. "Me llamo Nikhil," he
says in his Spanish class.(61).
In his attempt to detach from traditional Indian lifestyle, he rebels against his parents through different
ways. He does not follow his fathers footsteps at education and job and attend at Yale University. Illustrating

488
his rejection of arranged marriage and tendency for unarranged one, Gogol meets an American girl named
Maxine. Gogol becomes completely wrapped up in her and her family. Quickly, simultaneously, he falls in
love with Maxine, the house, and Gerald and Lydia's manner of living, for to know her and love her is to know
and love all of these things. He loves the mess that surrounds Maxine, her hundreds of things always
covering her floor and her bedside table, her habit, when they are alone on the fifth floor, of not shutting the
door when she goes to the bathroom.(80).
Gogols second phase of nomadic journey starts when his father dies of a heart attack while he is working
on a temporary project in Ohio. Gogol travels to Ohio to gather his father's belongings and his father's ashes.
Something inside of Gogol changes. He slowly withdraws from Maxine as he tries to sort out his emotions.
Maxine tries to pressure him to open up to her. Gogol breaks off the relationship and begins to spend more
time with his mother and sister, Sonia. After some time, he married an Indian girl named Moushumi on his
mothers suggestion, Ashima. However, their marriage breaks up when Moushumi starts having a love affair
with another man. After his nomadic journey of self-discovery with all the confusion, commitment and
struggle, Gogol, at the end of the novel, is alone and has come to accept his name. One of the important
techniques that Lahiri uses in the novel to liberate her characters from the narrowed confinement of national
boundaries is her contrast between the initial and latter attitudes and behavior of the characters. In the
beginning Lahiris protagonist, is seen holding strictly to his adopted American culture. But later he goes
through changes in his demeanor. Therefore, nomadic transformation does not take place at once in Gogol
life. It becomes a process that shuttles him towards forming a new identity.
The schizo-flow of Gogols nomadic desire is not an ego-centered nostalgia of return to the origins of
authenticity and purity. Rather it is an infinite recurrence of repressed heterogeneity and hybridity. Gogols
nomadic desire thus mimics the oscillation of difference in respect of cultural identity, and continues to flow
toward his origin. The whole novel can thus be read as an affirmative process of nomadic desire against
fixed, pure and fetishized notions of identity in a rhizomatic process. In fact, Lahiris characters attempt to
form a multiplicity of identities in a process of cultural formation in a rhizomatic way. Indeed, when Lahiris
characters are no longer spatially bound to a single place, a woof of human motion occurs and they deal
with the realities of having to move or the fantasies of wanting to move (Appadurai, 34). Although the
immigrants are immersed to the cultures of the United States, the deterritorialization of their identities
becomes profound as they adapt and preserve their cultures in modified forms.

4. Conclusion

The phenomenon of the endless deterritorialization of identity can be viewed as, in Nietzsches phrase, the
eternal recurrence. Practically, transformation through the intercultural conversation is a necessary condition
for immigrants living in the metropolitan cities. Lahiri has fully voiced the desires of her characters to form a
nomadic identity in her works. She not only has demonstrated the importance of nomadic becoming, but also
has, by deconstructing the narrow national and cultural identity for the immigrants, attempted to locate them
into the mainstream white society. Her characters, estranged in the conflict to balance two different worlds,
enable us to understand the complexities and existential confusion of the immigrants in the new land of
settlement. Yet, Lahiri emphasizes the necessity of creating a rhizomatic identity to overcome these
complexities. Lahiris concern is not to emphasize the ancestral cultural values that her characters hold in the
United States. Rather, by juxtaposing the immigrants initial experiences and practices in the United States
with their latter adoption and immersion into the U.S. culture, she suggests the nomadic nature of identity,
pushing the characters towards inhabiting transnational space in American society.
Therefore, her characters confront immigrant experiences in the United States and, constantly negotiate
between different aspects of their lives, recreate a third space that transcends the definite cultural and
national boundaries. A formation of transnational identity does not negate the notion of nation or national
borders. Constructing a transnational identity means making a connection between different nations and their

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people by crossing boundaries in a rhizomatic process. This process of border-crossing constitutes the notion
of identity as always evolving, owing to the fact that it becomes what it is in the context of constantly
changing and mobile relations between human beings and globalized world.

References

Appadurai, Arjun. (1996) .Disjuncture and Difference in the Global Cultural Flow. Modernity at Large: Cultural Dimension of
Globalization. Minneapolis: U of Minnesota P, 27,47.
Ashcroft, Bill, Gareth Griffiths, and Helen Tiffin. (1998). Key Concepts in Post-colonial Studies: the key concepts. London: Routledge.
Braidotti, Rosi. (1994). Nomadic subjects: Embodiment and sexual difference in contemporary feminist theory. New York: Columbia
University Press.
Braidotti, Rosi. (2006). Transpositions on Nomadic Ethics, Cambridge: Polity Press.
Brah, Avtar. (1996) . Cartographies of Diaspora - Contesting Identities. New York and London: Routledge.
Clifford, James. (1994). 'Diasporas', Cultural Anthropology, vol. 9, no. 3, pp. 302-38.
Deleuze, Gilles and Felix Guattari. (1994). Anti-Oedipus: Capitalism and Schizophrenia. Trans. Robert Hurley, Mark Seem, and Helen R.
Lane. London: The Athlone Press.
----. (1986). Kafka: Toward a Minor Literature. Trans. Dana Polan. Minneapolis: U of Minnesota P.
----. (1986). Nomadology: The War Machine. Trans. Brian Massumi. New York: Semiotext(e).
----. (1983). On the Line. Trans. John Johnston. New York: Semiotext(e).
Ganse, Alexandra . (2009). Roads of Her Own Gendered Space and Mobility in American Womens Road Narratives, 1970-2000,
Amsterdam - New York: Rodopi B.V.
Gatens, Moira and Lloyd, Genevieve. (1999). Collective Imaginings: Spinoza, Past and Present, London and New York: Routledge.
Hall, Stuart. (1990). Cultural Identity and Diaspora. Identity, Community, Culture, Difference. Ed. Jonathan Rutherford. London:
Lawrence and Wishart.
Lahiri, Jhumpa. (2003). The Namesake. Boston: Houghton Mifflin Company.
Pearson, A, Keith. (1997). Deleuze and Philosophy, The Difference Engineer , New York and London: Routledge


491

Age at First Marriage in Recent Years Vietnam

Nguyen Thanh Binh

Free University of Berlin, Germany
E-mail: binh1980gdct@yahoo.com.vn

Doi: 10.5901/mjss.2012.03.01.491

Abstract In recent years, many studies in Asian countries have shown increased age at first marriage partly due to
modernization (Minh, 2007; Xenos and Gultiano, 1992). Researchers have provided experimental evidences, at both macro and
micro levels, to assert that individuals who possess more modern features (higher education level, more modern professions,
and living in urbanized environments) are more likely to get married later than others with less modern features (Smith, 1980;
Hirschman, 1985; Smith and Karim, 1980; UNS, 1986). Besides, some other factors can also have a strong impact on the
change in marriage age in Asia such as parents interference into childrens marriage or national policies (Minh, 2007). Is it true
in present day Vietnam? Based on the results of 2009 Vietnam population and housing census and other surveys, we can affirm
that Vietnameses mean age of marriage, especially mens is rising; for women, this trend has been likely to be stable compared
with previous decades. Vietnamese mens mean age at first marriage is higher than womens in all the periods and regions.
Urban young people get married later than rural ones because of the pressure of jobs, income, urban busy life; marriage is not
regarded as important as other things. Kinh ethnic group - an ethnic majority in Vietnam, is considered to have more
opportunities to get access to modern life, to know more about national policies so they have a trend to get married later than
ethnic minorities. People working in public sector are more likely to get married later than people working in private sector or
households because they suffer pressure from jobs they are in charge of in public sector, as well as seriously obey national
policies related to marriage and family. People at low level of education and doing jobs concerning agriculture before getting
married will often get married at younger age.

Keywords: age; Vietnamese; marriage; families

1. Introduction

By using the statistics from General Statistical Office from 2002 to 2008; the 2009 Vietnam population and
housing census as well as other surveys, the paper will analyze the two following basic issues: i) the mean
age at first marriage of Vietnamese people in the period of 1989 - 2009 to find out its main trend, ii) the
differences between men and womens mean age at first marriage among socio-economic regions and
between rural and urban areas in Vietnam currently.


There have been several studies on age at first marriage in the world as well as in Vietnam in recent years.
Around the world, we could mention the study of Xenos and Gultiano, 1992; Smith, 1980; Hirschman, 1985;
Smith and Karim, 1980; UNS, 1986. For example, the study of Xenos and Gultiano about trend of female and
male at first mariage in Asia concluded that age at first marriage has increased partly due to modernization.
Other studies also had a conclusion that individuals who possess more modern features, such as higher
education level, more modern professions, and living in urbanized environments are more likely to get
married later than others with less modern features (Smith, 1980; Hirschman, 1985; Smith and Karim, 1980;
UNS, 1986). In Vietnam, there is Minhs study about age at first marriage but it is only in 3 survey regions
across the country. He also published the article related to some factors affected to age at first marriage in
the Red River Delta - one region in Vietnam. All these studies mentioned the age at first marriage, but no
studies addressed the age at first marriage of Vietnamese people in both systematic and general way.

492
Based on the inheritance of previous documents in combination with the data collected; this article has an
ambition to filling the incomplete documentation about the age at first marriage of Vietnamese people in
present day.

3. Methods

This article relies on the result of a lot of research: the statistics from the statistical agencies, especially from
General Statistical Office, General Office for Population Family Planning. It provides an overview statistics
about Vietnamese age at first marriage. The main statistics to write this article is from result of the survey on
the 2009 Vietnam population and housing census. It is the most update and official information about aspects
of families including age at first marriage of Vietnamese people. This article also bases on the result of the
survey on the household living standard which has been conducted regularly by the General Statistical Office
every two years from 2002 to 2008. The focus of the survey has been household size, birth rate, death rate,
household income and expenditures, etc. Of course, it covers a lot of information related to Vietnamese age
at first marriage.
I collect, interpret and evaluate these results and used here as the main method to write this article.

4. Results

4.1. Age at first marriage of Vietnamese men increases yearly whereas womens age at first marriage is
stable

Under a strong socio-economic influence during industrialization-modernization together with the
governments effort to encourage late marriage, men and womens marriage age in Vietnam has been older.
The Singulate Mean Age at Marriage (SMAM) is the average length of single life in years before first
marriage (The General Statistical Office, 2010). This index is often separately measured for each gender.

Table 1. Mean age at first marriage in the period of 1989 - 2009 (Unit: year)

Year Men Women Different SMAM (Men-Women)
1989 24.4 23.2 1.2
1999 25.4 22.8 2.6
2009 26.2 22.8 3.4

Source: The 2009 Vietnam population and housing census: Total result

Initially, we can recognize that mens mean age of marriage is higher than womens through all the years
(see table 1). It may be because families put higher pressure on women to get married than on men. Women
have long played quite a passive role in marriage; they often wait for mens marriage proposal. The biological
limitations (womens young age) result in their shorter time spent on marriage than mens. Women are not
allowed to miss many chances. It is parents who understand the concept girls only have one prime of life
and they are afraid that their daughters cannot get married when they get older (Van, 1996). Consequently,
womens mean age of marriage is normally lower than mens.
Also shown in the above data table, mens mean age at first marriage is likely to rise. Compared with
1999, mens SMAM increased by 0.8 years in 2009. Meanwhile, womens SMAM in 2009 did not change
compared with 1999 (both at 22.8 years old). The SMAM difference between men and women was
expanding, hitting 3.4 years in 2009. The trend of late marriage is now developing because many young

493
people and their parents want to have good education, expertise or skills so that they will be able to get jobs
before marriage (Thi, 2006). In other words, late marriage, high age at first marriage can enable couples to
enter marriage and family life with their maturity as well as stability of career, income and to ensure a happy
and stable life.

4.2. There is a Certain Difference Between Men and Womens Mean Age at First Marriage Among Socio-
Economic Regions and Between Rural and Urban Areas

Fig. 1. Mean age at first marriage categorized into gender, urban/rural areas and socio-economic
regions in 2009 (Unit: year)

Source: The 2009 Vietnam population and housing census: Total result

From the above data, it can be seen that both mens and womens mean age at first marriage in urban areas
are higher than in rural areas. This accurately reflects the current convention in Vietnam. Its reasons can be
traced back to a fact that in urban areas, young people often go to university or college after high school
graduation. After graduation and having a stable job, they get married; but in rural areas, right after finishing
high school, many young people immediately get a job and get married. Hence, marriage age in rural areas is
lower than in urban areas. Another reason for the difference in marriage age between rural and urban areas
is that many urban young men think that they want to get married late because they should concentrate on
making money, having fun with friends and understanding about society more before getting married.
Entering married life means that you have to take care of, earn money to support your own family, childrens
education as well as many other concerns. A lot of young people aged 29 - 30 in urban areas are not ready
for marriage as they still have to earn enough money to get married because marriage is an important event
and money is needed to prepare for the wedding and building a house later. As for myself, living in Hanoi - a
busy city of the country, the 31-year-old does not think of getting married yet because I wish to complete my
education, my research before getting married and having children. The reason is that if married, it would be
difficult for me to accomplish my study. I would have to spend a lot of time earning money to support myself
as well as my family. Moreover, I also want to make money to have an independent life before thinking of
marriage.
Also according to the above figure, the Southeast has the highest mean age at first marriage (27.4 years
for men and 24.2 for women), the second is the North Central Coast. Two regions with the lowest mean age
at first marriage are the Central Highlands (25.2 for men and 21.8 for women), and Northern Midlands and

494
mountainous (24.2 for men and 21.3 for women). This is due to a considerably high proportion of ethnic
minorities in both the Central Highlands and Northern Midlands and Mountainous. They have their own
customs and traditions and cannot afford higher education. Moreover, their awareness is still limited so they
often get married very early. In their point of view, adolescents physiological development (puberty) is the
age of marriage. In addition, as the popularization and propaganda of Marriage and Family Law has been
limited: 37% of households in rural and mountainous areas have no idea about this law, 63% have heard of it
but they are not clear about its detailed regulations (Van, 2004).
There is an obvious distinction between marriage age and family and individual features such as
education level, ethnicity, economic region in working place, etc. (General Statistical Office, 2001; Van,
2006).
The analyzed results from Minhs study (2007) confirmed education factors considerable influence on
mens marriage age. People with high school education or higher get married 1.2 years later than people with
secondary school education and 1.6 years later than illiterate people. Particularly with women, it is surprising
that illiterate women get married later than others with higher educational levels. Perhaps illiteracy is a
limitation to women, making them miss chances in the market of marriage as analyzed about factors of ability
to choose a partner by Dixon
1
(1971).
Ethnic factor has an obvious effect on Vietnamese peoples age at first marriage. In general, Kinh
peoples mean age of marriage (the ethnic majority in Vietnam) is highest. Other ethnic groups mean age at
first marriage is often lower. Recent research results have shown some ethnic minorities mean age at first
marriage in our country as follows: Tay 21.3 years; Thai 20.1; Muong 21.8; Nung 20.2; HMong 18.3; Dao
19.5, Giarai 20.7; Ede 20.2 (Thi, 2006). Especially, there exists a custom of early marriage in some ethnic
minorities (HMong), many young people get married at the age of 14 or 15 (Minh, 2007).
The role of husbands working region when they get married is clearly shown as well. People working in
public sector have considerably higher marriage age than those in private or household sector. People in
public sector has marriage age 1.7 years higher than those in private or household sector; and 1.4 years
higher than those in co-operative society sector (Minh, 2007). One of the reasons for public sector workers
late marriage is that they have to worry about education to find a necessary job, then they have to try their
best in their job to support their familys finance and career. In addition, they often live away from their family
so they are not bound by family, which enables them to decide the time to get married more easily.
According to Minhs research result (2007), the tendency of late marriage is clearly shown for different
social - professional groups. Nonetheless, the changing pace is different among groups of each factor, for
instance, between farmers and non-farmers, people working in public sector and in households, or among
groups of different educational levels. For example, the difference between mens mean age of marriage in
the period of 1996 - 2005 and 1976 - 1985 for specific groups was: elementary school 1.6 years; secondary
school 3.5 years; high school or higher education 4.5 years. Similarly, the difference between farmers and
non-farmers was 3.8 years; people working in public sector 7 years and people working in household or
private sector 4 years. For women, specific difference rates are: elementary school (3.4 years), secondary
school (2.7 years) and high school or higher education (2.8 years); farmers (2.8 years); non - farmers (2.4
years); public sector (1.2 years) and households and private sector (3.2 years).

5. Concluding Remarks

Vietnamese mean age of marriage, especially mens is rising; for women, this trend has been likely to be
stable compared with previous decades. This success is attributed to Vietnams great effort in popularizing,
1
Dixon (1971) proposed a sociology schema emphasizing the importance of three variables, which modify social structures influence on
marriage models. These variables were availability of marriage, feasibility of marriage, desirability of marriage.

495
propagandizing people to get married late; moreover, peoples awareness is better so they do not get married
early. Nevertheless, the most important factor resulting in the change from traditional marriage age pattern
(early marriage for both men and women) to modern marriage age pattern (late marriage) is the impact of
socio-economic and political transformation for last decades (Goode, 1963). In other words, the factors
specializing for the process of modernization, the nations policy, culture and more freedom in marriage
arrangement have contributed to forming Vietnameses tendency of late marriage
Vietnamese mens mean age at first marriage is higher than womens in all the periods and regions. Men
often desire to have social status before getting married so they give first priority to career. For women,
pressure on marriage is higher than for men because their youth is shorter than mens and they are normally
in a passive position in marriage relationship. Thus, their choices of partners are not much so they are likely
to get married earlier than men.
Urban young people get married later than rural ones because of the pressure of jobs, income, urban
busy life; marriage is not regarded as important as other things. Moreover, in cities, many people would like
to have an independent life instead of early being bounded by married life.
Kinh ethnic group - an ethnic majority in Vietnam, is considered to have more opportunities to get access
to modern life, to know more about national policies so they have a trend to get married later than ethnic
minorities.
People working in public sector are more likely to get married later than people working in private sector
or households because they suffer pressure from jobs they are in charge of in public sector, as well as
seriously obey national policies related to marriage and family. People at low level of education and doing
jobs concerning agriculture before getting married will often get married at younger age. Only illiterate women
get married later than women with higher educational levels.

References

Anh, V.T., Mai, N.X. (2007). The changes of socio-economic in household. Hanoi.
Bernard, H.R. (1988). Research methods in cultural anthropology. Newbury Park (California)- London (United kingdom)-New Delhi
(India): Sage Publications- The International Publishers.
Binh, N.T. (2011). Vietnamese families in transition. Journal of Science of Hanoi National University of Education. Vol. 56, No.1, pp. 56-
65.
Binh, N.T. (2011). Gender equality in education: The case of Vietnam. Paper presented at Sixth Annual Education and Development
Conference, Bangkok, Thailand, March 2011.
Central Population and Housing Census Steering Committee. (2010). The 2009 Vietnam population and housing census: Completed
results. Hanoi.
Dixon, R. (1971). Explaining cross-cultural variation in age at mariage and proportions never marrying. Population studies, vol.25, No.2,
Pp.215-234.
General Statistical Office (2001). The 1999 Vietnam population and housing census: The monograph on marriage, birth rate and death
rate in Vietnam: situation, propensity and differences. Hanoi.
General Statistical Office (2008). Statistical Handbook of Vietnam. Hanoi.
General Statistical Office (2009). 2008 Vietnam Household Living Standard Survey. Hanoi.
Goode, W.J. (1982). The family. Englewood Cliffs, N.J: Prentice-hall.
Goode, W.J. (1963). World revolution and family pattern. New York: The Free press.
Hirschman, C. (1985). Prematerial socioeconomic role and the timing of family formation: a comparative study of five asian societies.
Democraphy, Vol.22, No.1, February. Pp. 35-59.
Minh, N.H., (2000). Model of living with husbands family after marriage in the Red River Delta and some impacted factors. Journal of
sociology. No.1.
Minh, N.H. (2001). Some factors affected to age at first marriage in the Red River Delta. Sociological Review. No.4 (52). Pp.21-32.
Minh, N.H. (2007). Age at first marriage in 3 survey regions and its impacts. Conference Proceedings. Hanoi: Social Sciences Publishing
House.
Minh, N.H. (2009). Vietnamese marriage patterns in the Red River Delta: Tradition and change. Hanoi: Social Sciences Publishing
House.
Smith, P.C. (1980). Asia Mariage Patterns in Transition. Journal of Family History. Spring, Pp. 58-96.

496
Smith, P.C. & Karim, M.S. (1980). Urbanization, Education, and Marriage Patterns: four cases from Asia. Papers of the East-West
population Institute, Honolulu, Hawaii, No.99, July.
Thi, L. (2006). The life and changes of marriage, family in Vietnam today. Hanoi: Social Sciences Publishing House.
UNS (United Nations Secretariat). (1986). Nuptiality: Selected findings from the world fertility survey data. New York.
Van, L.N. (2004). The situation and the problems posed for the Vietnamese families today. Hanoi.
Van, L.N. (2006). The marriage relation in Vietnam today. Journal of Women and Gender Studies. No.2, Pp. 3-15.
Van, P.T. (1996). Some opinions about marriage and family in Hanoi. In: Thi, L. The Vietnamese families today. Hanoi: Social Sciences
Publishing House.
Xenos, P. & Gultiano, S. (1992). Trend and female and male age at marriage and celibacy in Asia. Papers of the program on population.
East-West center. Honolulu, Hawaii. No.120, September.


497

Parental Background Variables and the Career Choice of Secondary
School Students in Uyo Local Government Area, Nigeria

Udoh, Nsisong Anthony
Sanni, Kudirat Bimbo

Department of Educational Foundations, Guidance and Counselling
University of Uyo, Nigeria.

Doi: 10.5901/mjss.2012.03.01.497

Abstracts The study investigated the influence of parental background variables (Parents attitudes towards occupations,
Parents levels of formal education, and Parents occupation) on the career choice of secondary school student in Uyo Local
Government Area. Three hypotheses were raised to guide the study. This ex-post-facto survey employed the simple random
sampling technique in obtaining data from a sample of 200 SS3 students from 11 public secondary schools in Uyo Local
Government Area using the Parental Variables and Career Choice Questionnaire (PVCQ) designed by the researchers. The
hypotheses were subsequently tested using chi square at p.05 level of significance. Data analyses revealed that parents
attitudes towards occupations, parents level of formal education, and parents occupation exert influence on the career choice of
secondary school students in Uyo Local Government Area. It was recommended that parents should desist from pressuring
their children into taking up careers they do not possess the requisite abilities and that government should train and employ
more career counsellors to assist these students in their career choice and preparation through the implementation of a
comprehensive programme of career education.

Keywords: Career Choice, Career Counselling, Parental background, Senior Secondary School Students, School Counselling.

1. Introduction

The problem of career choice has implications for national development. In every society, the quality of
workers as well as their degree of job satisfaction contributes directly or indirectly to economic stability and
the smooth running of the affairs of the nation. If workers are unable to derive satisfaction from their job,
frustration sets in with accompanying decline in productivity and civil unrest due to the workers thwarted
goals. Occupation according to Onyejiaku (1987) is a way of life. It moulds ones character, determines ones
social status, income, style of life, choice of friends and, mental and physical health (Denga, 1968). This
implies that the choice of occupation has a persuasive connection with ones entire way of life.
Generally, it is believed that the primary motive behind the pursuit of various occupations is the
fundamental human need to make ends meet, to satisfy needs. While this has some truth in it, the
contemporary society with its dynamic and sophisticated social and economic systems have taken the
problem of occupational choice a step or two further by making it both complex and intriguing.
On the other hand, many are the variables that operate to decide which occupation an individual
chooses. Practically, every effort put forth to decide an occupation translates, in the light of significant factors,
to an effort to limit oneself from entering into a wide array of careers. In other words, occupational choices
made imply foregoing several alternatives. A number of these factors tend to impact more strongly than
others. A universal hierarchy of these factors in order of extent of influence eludes us because, at least, no
two individuals are the same. What may significantly influence the occupational preference of one person
may have less significance for another. However, while it is difficult to determine the relative potency of these
variables, it is true that there is some form of interaction among them where one modifies the other. While
some of these variables are psychologically and biologically rooted, others have socio-economic undertones.
Still, it is not uncommon for individuals to get into an occupation by accident or chance (Onyejiaku, 2001).

498
This research delves deeply into the influence of sociological factors on career choice. Specifically, it
picks on the influence of parental background variables on the career choice of secondary school students in
Uyo Local Government Area. Of all the socio-economic forces shaping the career pattern of an individual, the
family unit has ever been among the most influential. Being the first agent of socialization, it exerts the
earliest influence on the psycho-social life of the child, thus making its role very critical.


Before the advent of formal education in Nigeria, the family used to have veto powers on the occupational
decisions of its members. Speaking of that era, Onyejiaku (1980) maintains that vocational guidance which
used to be the prerogative of the parents no longer commands such influence, that is, the influence of
parents, because of the changed and dynamic socio-economic conditions in the country. But then, it would
be wrong for one to assert that the family has completely lost its influence on the vocational life of its
members because directly or indirectly, it still has.
Bear and Roeber (1969) state that through family influences, everyone is exposed to values, attitudes,
feelings, and a climate for learning. This underscores why the family has profound influence on the evaluative
aspects of the childs development including his judgement of which career to pursue. A childs desires, his
satisfaction and dissatisfaction, and his sense of values are influenced by the educational statuses in the
family too. As the family is the social group with which the child has direct contact, it determines not only the
individuals personality but also his vocational interests, at least to some appreciable extent.
A child is raised in accordance with the values of the family and as he grows he learns, internalizes and
concretizes the behaviour patterns to which he is exposed. All these behaviour patterns and training which
the child learns from the family often determines his job perception and subsequent occupational decision.
Roe (1956,1957), Switzer (1962), and Onyejiaku (1987), among others have postulated some positive
relationship between childrens early rearing experiences and their occupational choice, since children spend
most of their years at home and they naturally regard the family as their reference group with parents as
significant figures.
Paul (1962) classified parental work attitudes into four broad categories as expounded below:
1. The silent attitude: here parents do not discuss work openly due to a lack of interest in the
vocational life of the children. Parents here seldom discuss their own work and much less that of
others. They do not make vocational plans for their wards thus leaving their childrens occupational
aspirations to chance.
2. The resentful attitude: parents with this kind of attitude only make incidental remarks about work.
They leave their childrens occupational choice to fate and schooling and never attempt to
consciously discuss vocation with their children.
3. The participating attitude: parents with this kind of attitude are keen on their jobs and discuss them
freely and with obvious enthusiasm with their children thus exposing their children to these
occupations.
4. The candid attitude: this describes parents that openly and candidly discuss all aspects of work, the
advantages and the disadvantages thereof, with their children.
According to Paul (1962), children from these categories of home will have differing attitudes towards work
assuming that other influential variables are kept constant. Again, children from the third and fourth
categories would mature vocationally earlier than children from the first and second categories.
In addition to parental attitude towards work, parental occupation and education also impact strongly on
the occupational choice of children. Children raised in a home dominated by a certain occupation are likely to
be influenced by that occupation. Some families are noted for maintaining certain occupations across several
generations. A boy whose father and grandfathers, uncles and brothers are physicians or lawyers will
invariably have different vocational interest from a boy raised in a family noted over the years as farmers,

499
teachers, accountants, or labourers (Onyejiaku, 1987). Studies of occupational mobility by Davidson and
Anderson (1937) revealed a tendency for families to remain on the same occupational level through three
generations. However, this tendency has dramatically changed. The high rate of competition for prestigious
and lucrative occupations between the rich and poor families has seen rich parents compelling their children
to train for the prestigious and lucrative positions in order to maintain the status quo, and poor families
pressuring their children vehemently to train for the prestigious and lucrative positions too in order to liberate
the family from the shackles of poverty (Onyejiaku, 1987).
The level of parental formal education is another factor that influences the vocational interests of
children. Parental education level determines the amenities and the cultural level of the home. Parents armed
with adequate education often get gainful employment. Thus, with their level of income and exposure, they
are better disposed to procure educational materials for their children and discuss job opportunities with
them. Without doubt, a child surrounded with good magazines, books, as well as intelligent discussions could
be expected to develop different, and perhaps better, vocational interests than a child not exposed to those
things (Onyejiaku, 1987). According to Denga (1990), children from low income homes fail to develop interest
in and acquire vocational training because of the educational inadequacies of the parents.
Carter (1999) in his study also supports the view that a child learns about occupations through examples
of the parents as they visit their parents work places. If the impression there is good then the child seeks to
identify with the occupation but if they are bad, the child rejects such occupation. Caplow (1994) and Wert
(1997) in their separate studies found that career choice are inherited obviously and directly from parents.
Furthermore, Miller (2000) in his study discovered that parental attitude and behaviour are positively
associated with students career maturity.


Career choice tends to be a persistent problem for students in the contemporary society. That is why it is not
uncommon for students to get into occupations that are not quite suitable to their abilities. Parental
background on the other hand tends to be the single most influential factor in students career choice. More
often than not, parents owing to personal idiosyncrasies pressure their wards into taking up family
occupations and other careers even when they do not possess requisite abilities. What usually obtain in the
end are job dissatisfaction, underperformance if not complete malfunction, frustration and inefficiency all of
which translate in the long run to national economic crisis. Therefore, this study investigates the influence of
parental background variables on the career choice of secondary school students in Uyo Local Government
Area.

3.1 Purpose of the Study

The purpose of the study is to find out the extent to which parental background variables influence the career
choice of secondary school students in Uyo local government area. Specifically, the study aims at finding out
whether:
1. Parental attitude towards occupations influences the career choice of students in Uyo Local
Government Area.
2. Parents level of formal education influences the career choice of students in Uyo Local Government
Area.
3. Parents occupation influences the career choice of students in Uyo Local Government Area.

500
3.2 Research Hypotheses

The following hypotheses were formulated to guide the research:
1. Parents attitudes towards occupations do not significantly influence the career choice of secondary
school students in Uyo local government area.
2. Parents levels of education do not significantly influence the career choice of students in Uyo local
government area.
3. Parents occupations do not significantly influence the career choice of students in Uyo local
government area.

3.3 Significance of the Study

The dynamic and sophisticated socio-economic system of the contemporary society with accompanying
innovations in science and technology present a wide array of occupations for our youths to choose from.
However, several factors operate to make a realistic choice in this respect somewhat difficult. Prominent
among these factors are parental background variables namely: attitudes towards occupations, level of
formal education, and occupation.
This study is significant in that it would expose the influence of these variables on the career choice of
secondary school students in Uyo LGA wherefore students could be helped to make realistic occupational
choices. Furthermore, from the findings of this study parents would, through PTAs (Parents-Teachers
Associations), be dissuaded from compelling their children into taking up occupations that are not at par with
their personal characteristics and abilities.

4. Methodology

4.1 Sample

The population of this study consisted of all senior secondary three (SS3) students in all the public secondary
schools in Uyo LGA. There were a total of 11 public schools with 2,347 students in the SS3 category, at the
time of this study, in Uyo Local Government Area. Using the stratified sampling technique, a sample of 200
SS3 students from 11 public secondary schools in Uyo Local Government Area was randomly selected for
this study. 18 students were selected from each of the first ten schools, while 20 students were picked from
the 11th school.

4.2 Instrument

The instrument used for this study was the Parental Variables and Career Choice Questionnaire (PVCQ)
developed by the researchers. The instrument had sections A and B. Section A solicited responses on
personal data while Section B of the questionnaire had 14 items which sought information on how parental
background variables influence the career choice of the students. In order to ensure the content and
construct validities of the instrument, draft copies were given to experts in test and evaluation in the
Department of Educational Foundations, Guidance and Counselling, University of Uyo, Uyo, to assess the

501
suitability of the items on the instrument. Their professional recommendations were well integrated in the final
copy. Furthermore, the formulation of the items was guided by a comprehensive review of professional
literature on issues pertaining to family influence on occupational choice. The 14 items on the instrument
yielded a test re-test reliability coefficient of 0.85 for parents attitude, 0.55 for parental level of formal
education, and 0.87 for parents occupationan indication of internal validity.

4.3 Design and Statistics

This research adopted the ex-post-facto design because in the course of conducting this research, the
researcher had no control over the variables under investigation. Copies of the questionnaire were given to
the respondents in their respective schools with the assistance and cooperation of the schools staff
personnel. In addition to instructions written on the questionnaire, the respondents were given verbal
instructions and clarifications where necessary. All the 200 copies of the questionnaire administered were
properly filled according to instructions and returned. The data collected were represented in tables and
analyzed using chi square statistics. The three research hypotheses formulated for the study were tested at
p.05 level of significance with appropriate degrees of freedom.

5. Result Presentation

Hypothesis One: The first hypothesis proposed that: Parents attitudes towards occupations do not
significantly influence the career choice of secondary school students in Uyo Local Government Area. This
hypothesis is tested in Table 1 below:

Table 1. Parents Attitudes toward Occupations and the Career Choice of Students

S/N ITEM Strongly
Agreed
Agreed Disagreed
Strongly
Disagreed
TOTAL
1 It is my parents that told me to choose the
career I have chosen
67 51 45 37 200
2 I was able to make a rational career choice
because my parents discussed with me
everything I needed to know about careers
43 71 57 29 200
3 My parents always warned me never to choose
certain careers that is why I am careful not to
pick the one they wont like
71 36 63 30 200
4 I picked the career I have chosen to pursue
because my parents always speak favourably
of it
56 68 51 25 200
5 My parents never bother me about which career
to choose that is why I am not yet sure of which
career to choose
49 46 55 50 200
Total 286 272 271 171 1000
Expected frequencies 57.2 54.4 54.2 34.2

*Significant at p.05 level (df = 12; Calculated value of X
2
= 40.6; critical X
2
=21.03)

Decision rule: It could be observed from the analysis in Table 1 that the calculated value of X
2
is 40.6
whereas the critical value at .05 level of significance, at 12 degrees of freedom, is 21.03. In view of this, the
null hypothesis was rejected. This implies that parents attitudes towards occupations exert a significant
influence on the career choice of secondary school students in Uyo LGA.

502
Hypothesis Two: The second hypothesis stated that: parents levels of formal education do not significantly
influence the career choice of secondary school students in Uyo Local Government Area. This hypothesis is
tested in Table 2 below:

Table 2. Parents Levels of Formal Education and the Career Choice of Students

S/N ITEM Strongly
Agreed
Agreed Disagreed
Strongly
Disagreed
TOTAL
1 Because my parents are highly educated,
they knew how to assist me in making my
career decision
56 34 67 43 200
2 Because my parents are well educated,
they knew the relevant educational
resources to provide to aid my career
development
43 61 48 48 200
3 Because my parents are highly educated
and exposed, they knew which career to
choose for me
57 41 55 47 200
4 Because my parents are highly educated,
they have a good job and so are able to
finance my vocational aspiration
61 50 54 35 200
Total 217 186 224 173 800
Expected frequencies 54.2 46.5 56 43.2

2
= 18.0; Critical X
2
=16.92)

Decision rule: It could be observed from the analysis in Table 2 that the calculated value of X
2
is 18.0
whereas the critical value at .05 level of significance and 9 degrees of freedom is 16.92. In view of this, the
null hypothesis was rejected. This implies that parents level of formal education exert a significant influence
on the career choices of secondary school students in Uyo Local Government Area.
Hypothesis Three: The third hypothesis postulated thus: Parents occupations do not significantly influence
the career choices of secondary school students in Uyo Local Government Area. This hypothesis is tested in
Table 3 below:

Table 3. Parents Occupations and the Career Choice of Students

S/N ITEM Strongly
Agreed
Agreed Disagreed
Strongly
Disagreed
TOTAL
1 I will not like to take after my
fathers occupation, instead I
will go for a better one
65 57 46 32 200
2 I will not like to take after my
mothers occupation, instead I
will go for a better one
71 33 62 34 200
3 I will like to take after my
fathers occupation because I
admire it
51 35 66 48 200
4 I will like to take after my
mothers occupation because I
admire it
69 38 60 33 200
5 My parents want me to follow 50 31 73 46 200

503
in their line of occupation
Total 306 194 307 193 1000
Expected frequencies 61.2 38.8 61.4 38.6

2
= 30.5; Critical X
2
=21.03)

Decision rule: It could be observed from the analysis in Table 3, that the calculated value of X
2
is 30.5
whereas the critical value at .05 level of significance, at 12 degrees of freedom, is 21.03. In view of this, the
null hypothesis was rejected. This implies that parents occupations exert a significant influence on the career
choice of secondary school students in Uyo Local Government Area.

6. Discussion of Findings

The discussion of the findings of this study centres on the three hypotheses that were tested in the study.
From the statistical analyses of Hypothesis 1, the result reveals that parents attitudes towards occupations
significantly influence the career choice of secondary school students in Uyo Local Government Area. This is
in consonance with the submission of Paul (1962) who maintained from his study that parents attitude
towards occupations whether silent, resentful, participating, or candid does influence childrens career choice.
Similar results were obtained by Onyejiaku (1987). Furthermore, Millers (2000) finding that parental attitudes
and behaviour are positively associated with students vocational development serves as a basis to the
findings of this study.
The result of Hypothesis 2 showed that parents level of formal education significantly influences the
career choice of secondary school students in Uyo Local Government Area. This is in agreement with the
findings of Denga (1990) who discovered that due to the educational inadequacies of parents and the
resultant low socio-economic condition, children may be disinterested in certain careers and therefore fail to
acquire training thereof. Furthermore, the finding here agrees with the study of Onyejiaku (1987) who found
that well educated parents are better able to provide needed assistance to their children in career choice and
preparation.
The result of Hypothesis 3 showed that parents occupations have significant influence on the career
choice of secondary school students in Uyo LGA. This finding gets acceptance in the findings of Carter
(1999) who discovered that children learn about and seek to adopt or avoid occupations through the
examples of their parents as they visit the parents workplace. Again, the findings of Caplow (1994) and Wert
(1997) that career choices are inherited obviously and directly from parents support the result of this study.
In sum, the findings of this study agree with that of Onyejiaku (1991) who found that the family has profound
influence on the career choice of children.

7. Recommendations

In view of the dynamics of contemporary social and economic systems, there arises a need for secondary
school students in Uyo LGA to make realistic career choices. As exposed by this research, the family has
hitherto exerted a powerful influence on the career choice of students.
Therefore, it is recommended that parents should desist from compelling their children into taking up
those occupations that they do not possess the required capacities, talents, interests, and/or aptitudes for.
Additionally, parents should cautiously avoid the tendency to push their children into pursuing those wishful
careers they were unable to pursue, putting them on the line as it were to accomplish their own failings.
Furthermore, parents should employ the assistance of professional career counsellors in helping their
children to make intelligent career decisions. Also, the government and other relevant agencies in charge of
educational planning and development should work towards the development and implementation of a

504
comprehensive programme/curriculum of career education or career development from the primary school
level to help students acquire sound vocational development. Finally, parents should be sensitized on the
need to acquire adequate vocational information and discuss same freely with their children so that they may
be able to make well informed decisions about their future careers.

8. Conclusion

Based on the outcome of this study, it becomes evident that parental work attitude which is often reflected in
the conversations engaged in at home significantly influences students attitude towards certain occupations
and that this in turn influences their choice of career. Furthermore, it is also evident that the level of parental
formal education has a significant influence on the vocational interests of the children as it determines, inter
alia, the educational and vocational amenities provided and the socio-economic level of the home which in
turn makes the pursuit of certain vocations feasible whereas others are simply unaffordable. Finally, it is clear
that the occupation of parents may have some decided influence on childrens vocational interests as
children raised in homes dominated by certain occupations are likely to be influenced by that occupation
especially if the impression they have of the occupation is favourable.

References

Anderson, H. D. (1937). Occupational Mobility in an American Community. In Onyejiaku, F. O. (2001). Careers Guidance And
Counselling Services In Schools. Calabar: Vita-Nasco & Company Limited.
Bear, M. F. & Roeber, E. C. (1969). Occupational Information: The Dynamics Of Its Nature And Use. Chicago: Science Research
Association, Incorporated.
Caplow, T. (1994). The Sociology Of Work. Minneapolis: The University of Minnesota Press.
Carter, T. (1999). Home, School, And Work. Pergamon: Gowther Press.
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505

The Rate of Women Having a Third Child and Preference
of Son in Present Day Vietnamese Families

Nguyen Thanh Binh

Free University of Berlin, Germany
E-mail: binh1980gdct@yahoo.com.vn

Doi: 10.5901/mjss.2012.03.01.505

Abstract Vietnam has been implementing the policy of fertility decline through the population program, fertility health care
including family planning. Small household size is now encouraged. Together with services of fertility health care, family planning
provided, a lot of popularizing, propagandizing activities for changing behaviors have been organized in order to equip couples
with knowledge and encourage them to carry out the target of family planning. We have of course obtained some certain
success
1
, however there still exists the problem of couples giving birth to a third child, especially in some geographic regions,
this rate tends to increase. One of the most important reasons for giving birth to a third child arise from the need of Vietnamese
families to have at least one son. Because the son is responsible for caring for old parents, ancestor worship, continuity the
lineage, etc.

Keywords: women; Vietnamese; son; families

1. Introduction

The paper will answer the following questions: i) how many percent do Vietnamese women have a third child
in families?, ii) Is there any differences between geographic regions in proportion of women having a third
child in Vietnam?, iii) what is the reason for giving a third child in Vietnamese families recent year?, and iv)
why do almost Vietnamese people want to have at least one son?


In recent years, there have been many researches into birth rate in Vietnam such as Cu (1996) and Van
(2000). These researches focus mainly on the current situation, comparing and contrasting birth rate in urban
areas with rural areas, and also among areas nationwide. These studies have identified the causes and
anticipated the birth trend in Vietnam in the coming years. However, the situation of giving birth to the third
child in Vietnamese families has been hardly mentioned in these studies. It is therefore necessary to conduct
researches on the rate of the families giving birth to the third child because this figure is likely to increase in a
number of areas in the country. This article will hopefully discover the causes of the above stated situation
and also give the reasons to prove the need of having a son in Vietnamese families, which hasnt been
mentioned in the previous studies.

3. Methods

This paper follows a qualitative research methodology. It depends on the result of a lot of research: the
statistics from the statistical agencies, especially from General Statistical Office, General Office for
Population Family Planning as well as other studies. I also use literary works, both written (novels, short
stories and so on) and oral ones (tales, folk songs, proverbs, and sayings, etc.) as a source to write this
article because they are an indispensable part of the Vietnamese culture.
1
In 1999, Vietnam was awarded by the United Nations for the fast decline of population development rate.

506
4. Results

4.1. The Proportion of Vietnamese Women Having a third Child in Recent Years

The rate of women having a third child or more shows the number of women having a third child or more for
12 months before research over 100 women during that period.

Fig. 1. The rate of women from 15 - 49 having a third child by area (Urban and rural), 2005 - 2009 (%)

20,8
18,5
16,7 16,9
16,1
11,6
10
9
9,7
9,3
23,7
21,4
19,3 19,6
18,9
5
10
15
20
25
Nation-wide
Urban
Rural

Source: The 2009 Vietnam population and housing census: Total result.

Fig. 1 represents the rate of women from 15 - 49 giving birth to a third child or more in Vietnam from 2005 to
2009 categorized into rural and urban area. The data shows that during this period of time, this rate all over
the country dropped from 20.8% in 2005 to 16.1% in 2009. The rate of women stopping giving birth after the
first and second fertility in both urban and rural areas rose, especially in urban areas, helping decreasing the
fertility rate in Vietnam. This helps Vietnam stabilize population, decrease dependence on children and
creates favorable opportunities for Vietnam to carry out targets of developing a stable and quality economy.
A difference in the rate of women giving birth to a third child or more can be seen in different geographic
regions. The regions with a low rate of women giving birth to a third child were the Southeast (10.9%), the
Mekong River Delta (12.4%) and the Red River Delta (13.2%). The highest rates belonged to the Central
Highlands (27.4%), North Central Coast (21.1%) (see table 1). As a general rule, in well-developed regions,
this rate is low, and vice versa, in remote areas with hard life this rate is high.

Table 1. The percentage of women giving birth to a third child or more

Regions 2005 2006

2007 2008 2009
Red River Delta 17 14.7 13.7 13.8 13.2
Northeast 19 17.1 15.0 14.7
Northwest 23 20.7 17.7 18.0
18.7
North Central 29 28.3 23.5 26.5
South Central Coast 23 22.4 21.8 19.4
21.1
Central Highlands 39 32.2 30.0 26.9 27.4
Southeast 17 14.3 13.8 14.4 10.9
Mekong River Delta 16 13.9 12.6 12.6 12.4

Source: UNFPA: The fact of Vietnams population in 2008 - The 2009 Vietnam population and
housing census: Total result.

For the past years, the rate of women giving birth to a third child tends to decline in all the geographic
regions, particularly in the Northern Midlands and Mountainous (Northeast and Northwest), and the Central

507
Highlands has the rising trend. Thus, in the coming time, Vietnam needs to focus on solving the situation of
women giving birth to a third child in these regions, as well as maintaining the trend of fertility decline in other
geographic regions in order to achieve a stable decrease of women having a third child.
The rate of women having a third child or more is closely related to their education level. According to
the research data in 2007, this rate of illiterate women was 43.1%, 28.1% for women who have not finished
elementary school, 19.4% for elementary school graduates, 15.3% for secondary school graduates and 4.5%
for women with high school education level or over (see table 2).

Table 2. The rate of women giving birth to a third child or more by education level, 2007 (%)

Illiterate Elementary school
unfinished
Elementary school
graduate
Secondary school High school
43.1 28.1 19.4 15.3 4.5

Source: UNFPA: The fact of Vietnams population in 2007

It can be concluded that the higher womens education level is, the lower the rate of having a third child is.
With high education level, women are aware that children must be looked after and nurtured well so they do
not desire to have too many children, resulting in their relatively low rate of having a third child. Additionally,
because their awareness and use of contraceptive methods are more effective so this groups rate of giving
birth to a third child is lower than groups of low educational level. Thus, in order to change the situation, the
program of family planning needs to focus on propagandizing to women at low education level. Normally,
these women have low income, and live in rural, mountainous and remote areas. Thus, it is essential to have
suitable techniques of propaganda for this group.
During the last years, Vietnam has tried their best to encourage families to stop giving birth to a third
child. We have obtained some certain success, however there still exists the problem of couples giving birth
to a third child, especially in some geographic regions, this rate tends to increase. The authorities and
experts from the Committee of Population, Family and Children have stated some causes related to the
implementation of population, family planning in local area such as: there is self-satisfaction about some
achievement; the letting loose of leadership and population work conduction; the organization system of
family planning staff has not been strong enough and overloaded with work; the propagandizing, educating,
providing services and building policies, regimes face many problems, etc. These are indirect causes, what
are the direct reasons why women have a third child? According to Le Thi, the reasons for giving birth to a
third child arise from the couples themselves (Thi, 2006). Initially, it is male supremacy and discrimination
against women that leads to the desire to have a son. Families with two daughters did not intend to have a
third child but now they give birth to the third child in the hope of having a son. This is often the case with civil
servants in urban areas. The case of Mrs. Hoai
2
can be taken as an example. She said that both her
husband and she were intellectuals, she was an editor of a magazine, he was a science researcher. As a
gentle, diligent woman, she was loved and respected by her husbands family. When they had two pretty
daughters, her husband went abroad to study. For 3 years, she herself nurtured her children, went to work
and had extra jobs to support her family, looked after her old and weak parents in law. When her husband
came back, she was extremely happy. Nevertheless, the happiness of reunion had not lasted long; she was
urged to have a son by her husband and his family. Despite being a civil servant, she thought of her familys
happiness, parents desire and husbands pride, she had a third child but it was a daughter again. After the
baby was born, she felt really painful when all the members in her husbands family became cold toward her;
2
The family and society newspaper, issued on 27-11-2003


508
her husband ignored both her and the baby. Whenever coming home, he was drunk and always yelled at her.
Through Mrs. Hoais story, we can realize that male supremacy and discrimination against women is still
obviously shown in part of Vietnamese population. The main aim of having a third, fourth child, etc. is only to
have a son to be the heir of the family.
Secondly, some families with two sons still want to have both sons and daughters like their friends,
because in Vietnamese tradition, giving birth means having both sons and daughters. As a result, many
families with sons still try to have a third child in the hope of having a daughter if they can afford it. However,
in fact, the pressure of having a daughter is not as heavy as having a son.
Thirdly, there is a mentality of desiring to have many children, because in their opinion, having a lot of
children means possessing a lot of property, happiness and luckiness. This mentality has existed since the
old days and instilled in many households mind, especially in rural and mountainous areas. Two children are
too few for them; four to five children are enough (Thi, 2006) in case they die young. Having many children
also means a lot of labor force. This plays an especially important role when production stages have not
applied much technology but mainly used manual labor, especially in many rural households farm work. In
other words, having many children in that period of time was very economically beneficial; it was a basis to
create income for households. Although having many children means lots of food consumed, these children
helped their parents a lot in production and housework, etc. Now, household economy mainly depends on
parents and childrens effort. Even if the nation lends them capital for business, this amount of capital will not
yield positive effectiveness without enough labor resource. As a result, many families want to have many
children.
Fourthly, the mentality of desiring to have many children who they can depend on and be looked after by
when people get old. Because if a family have many children, especially sons, they can look after their
parents by turns when their parents are weak or too old. It is very necessary for everybody to be cared by
someone at the old age when a lot of farmers do not have medical and social insurance. Even with public
servants, the allowance of medical and social insurance is too little. Thus, when they should be ill or have
accidents, they mainly depend on their family and children. With many children, the life of old or ill people can
be better ensured by only one child.

4.2. Preference of Son in Vietnamese Families

In the Vietnamese families, daughters are not so looked down as in China
3
; daughter births are welcomed. In
the traditional peasant family, a daughter was especially appreciated if she was the first child because she
would help her parents a great deal in doing, and sharing household chores. That was why a Vietnamese
proverb went: Having a piece of fertile female buffalo is not as valuable as having a daughter as your first
child. Another proverb goes: It would be better to have both glutinous rice and ordinary one; that means
people like to have children of both sex. For that reason some families that have already had many sons still
wish for a daughter. If the family has a daughter as a first child, and a son as a second one, they will get mark
ten. It is even better than a son as the first and the daughter as the second child. There is a popular saying
which people often say to the parentsnew - born daughters: Co hoa mung hoa, co nu mung nu (Let us
rejoice, whether buds or flowers). That means that child - birth is always a happy event regardless of the sex
of the new - born child. However, son preference is a prominent feature of Vietnamese culture, particularly in
the north of the country where the Confucian influence has been the strongest. Foreign researchers have
made a comparison that in Vietnam, the importance of having male children is stressed more than in
Thailand and Burma. People, especially in countryside, like to have son so much, regardless of their social
categories: from ordinary people to officials, from non - members of political affiliation to communist party
3
Due to one child policy in China, almost families want to have a son only.

509
members (Bich, 1997:275). The preference for sons is so strong that parent who have a new - born son in
the commune draw fire crackers to celebrate, or they slaughter one, even two pigs to entertain all members
of their lineage (Tinh, 1994:27). In other words, the whole family happily greets the birth of a son. By contrast,
people who have already had more than one child, but do not have a son yet feel disappointed. In mass
media there are often stories about how men who are waiting for a son react to their new - born female
children. For instance, Nguyen Tri Thuc (1995) tells us about his relative who had already had four
daughters: the man prepared well in advance for a celebration in the hope of getting a son when his wife was
going to give birth to a new child. He kept carefully some chickens that his family had raised to slaughter if
the new - born child would be a son. Nevertheless, hearing that the new - born child was a daughter again,
he was disappointed, and released the chickens. Compared to the above son birth, this daughters birth is
entirely opposite: no celebration, not even some good food for the parturient.
Why people have no son feel boring like that? This derives from a tradition according to which when
having no son, people very often thought that something wrong with the wife. Her position in the family would
be insecure, no matter how well she performed her duties as a wife and daughter-in-law. For example,
according to the pre-1945 law
4
, failure to give birth to a male child was the first reason of the seven ones
which would allow a man to repudiate his wife. Despite decades of socialist policies that promote gender
equality, son preference remains strong (Belanger, 2002; Goodkind, 1995). It reminds us of a traditional
proverb: If you have a son, you can say you have a descendent; but you can not say thus, even if you have
ten daughters (Dong, 1991; Rydstrm, 1998).
When asked about the expected number of sons, as shown in the recent survey result, an average of
couples wants to have from 1 to 2 sons.

Table 3. The expected number of sons categorized into geographic regions and education level (Unit:
children)
Ordinal
numbers
Geographic regions and education level Expected number of sons
Geographic regions 1.33
1 Urban 1.22
2 Plains 1.37
3 Midlands-Mountainous 1.35
Education level 1.33
1 Illiterate 1.68
2 Elementary School 1.56
3 Secondary school 1.30
4 High school 1.20
5 Post-secondary 1.29

Source: Van, L.N., Khieu, N.L., Binh, D.T (2002): Basic data about Vietnamese families and women in
families in the industrialization and modernization period

Table 3 shows that urban families have a little lower demand of sons than families in other regions. The main
reason may originate from the fact that urban people have stable incomes and do not need to depend on
their children when getting old, so having sons to depend on at the old age is not very necessary for them. As
a result, urban families demand of having sons is not higher than families in other regions. In terms of
4
According to Gia long code of law it was mainly the husband who had the right to initiate divorce. Based on the so-called seven outs
men could repudiate their wives on the following grounds: Infertility; adultery; neglect of parent-in-law; talkativeness; theft; jealously;
incruable diseases. (Binh, 1992:63).


510
education level, a general trend is that the lower couples education level is, the higher their demands of
having sons. The number of sons expected by illeterate couples is 1.68, whereas couples with above high
school education want to have 1.29 sons. People with high education level often have stable jobs and enjoy
social allowances at the old age so they do not depend much on their children, especially sons. Meanwhile,
people without certain education level do not have stable jobs in state organs, so when they lose their
working ability, they have to live on their children, normally their sons as in conventions. This obivously leads
to the demands of having sons to depend on later.
Among the reasons of giving birth to sons in families of Vietnam, the results (table 4) show the
necessity of having sons to depend on at the old age is quite common, accounting for 64% (in cities 51%, in
plains 67% and in midlands and mountainous areas 65.2%). The second reason is to continue the lineage of
families (accounting for nearly 61%). Clearly, in the regions where the social allowance for the old is little, the
demand of having sons is higher and that is the reason to explain the difference in the demand of having
sons between urban and rural areas and among different groups of occupations.

Table 4. The necessary reasons for having sons by geographic regions (%)

Numbers Reasons Urban Plains Midlands and
Mountainous
Nation-wide
1 To depend on at old age 51.0 67.0 65.2 64.3
2 To carry on the lineage 37.0 68.4 56.6 60.6
3 To have labour source 7.0 9.7 9.0 9.2
4 Others 0.0 2.7 0.5 1.6

Source: Van, L.N., Khieu, N.L., Binh, D.T (2002): Basic data about Vietnamese families and women in
families in the industrialization and modernization period

4.3 Care for Old Parents

It may be explained that the patrilocal model and its variant play a role here. Like the traditional family,
contemporary marriage has required a bride to leave her parents, to go live with the grooms family. The
crucial point was not the residence model, but the social security system related to this model. As a source
shows, since then on, daughters main responsibilities of caring old people were towards her parent-in-law,
not natal parents (Anh, 153-154). That is why in the Confucian tradition; girls were likened to flying ducks,
lost to their parental family at marriage. So that, to make sure about their security in old age, parents do their
best to keep close their relationships to their children, especially the oldest son. Because they normally live
with or depend on his family when they are old.

4.4 Continue of the Lineage

In Vietnam, the importance of the community called lineage in comparison to the individual person lies in this
point: in a patrilineal lineage, a man is not an independent person, an individual in the full sense of the word,
but a member of a given lineage. He is the personification of this lineage at present. His existence is not only
a link in the communal chain. He must continue his lineage by having at least one son to guarantee that
someone will fulfill in the future his present obligations. It is only a male child who can ensure the continuation
of the lineage in two senses. Only he can practice the ancestor worship because it cant be done by female
descendants who are treated as members of their husbandsfamilies. And it is only a son who can ensure the
continuation of the bloodline because of the prevailing patrilineage. If a man should die without male progeny,
his whole lineage, including his ancestors and his unborn descendants would die with him. An end would be
put to the line of descent because nobody takes care of that lineage anymore. You could also see the
childrens surname is followed by fathers one. So the sons are very important for the lineage.

511
4.5 Ancestor Worship

Although ancestor worship does not mention in table 4 but it is indispensable in Vietnamese families.
Ancestor worship is very important because it is to worship people in the former times from one whom is
descended. A Vietnamese folk song goes: Men have ancestors, just as trees have roots and rivers have
sources. The worship duty to parents starts from their death. Traditionally, in the funeral procession, sons of
the deceased wear straw hats and walk on canes; daughters and daughters-in-law lie in the courtyard in the
path of the coffin. In the funeral of his father, the son clothes in coarse fibber, and walks on a bamboo cane.
He moves backward before the casket of his death parent. Now, a new ritual system according to which
every ritual must be simplified was imposed to replace the old one. Sons put their dead fathers coffin into a
carrier, took it to graveyard, and they no longer wore straw hats and walked on cane; daughters and
daughters-in-law no longer lay in the courtyard in the path of the coffin in procession. (Hy, 1993:82).
However, it is very essential to have at least a son who walks on cane before ones coffin. Since then, sons
continue their worship duty to their death parents. One of the fundamental purposes of ancestor worship is to
ensure the happiness of death parents in otherworld. While alive, parents are served and respected; when
dead, they are served and worshipped. Their other world existence needs the same things as this world
existence does. If the parents need food, clothing, shelter and money when they are alive, they would
continue to need that when they are dead. By practicing ancestor worship, children supply their dead parents
with these essentials. In celebrating death anniversaries of their parents, children transfer goods from this
world to the next. This transfer is achieved by burning. Paper clothes, and paper money could all be sent on
to the dead parents in this way. Real food is not burnt, but merely offered to the dead parents.
Dead parents need the worship of their children in order to be comfortable and happy. A soul with no
descendants is doomed to eternal wandering in the World of Shadow because it would not receive homage.
Children who do not observe the sacrifice are considered as committing a serious crime of being impetuous,
and undutiful because the souls of their dead parents have to make a precarious living as wandering
beggars.
However, the relationship between dead parents and their children is the mutual interdependence. To
their turn, dead parents are believed to become the protectors of their descendants. In return for the
sacrifices and services of the living, the dead parents give their descendants some blessings that are in their
supernatural power. Moreover, they could warn their children about some coming unhappy events so that
children could escape. To request intercession for success in business or on behalf of a sick child, sacrifices
are offered, and prayers are said to the souls of the dead parents. The interaction between dead people and
their family members is not limited to the periodical, annual occasions
5
of ancestor worship; but also on the
other occasions
6
. They want the ancestors to know the event and bless them on the occasion. To do it,
ancestor worship requires the installation of an altar table in the home. Every family had ancestral altar in the
center of the house. That may not be an exaggerated estimation because people did their best to get
ancestral altar at home, however poor they were and however simple it was. The practice of worshipping is
based on the principle of male members of the family, on the oldest son. In general, he had to bear all
expenses for celebrating death anniversaries; that was why he received the greatest part of property handed
down by his parents, mainly land. Other sons or girls have to go to the eldest sons house with their families
to attend the ceremony, although they can place a very simple altar in their own houses.
To sum up, we can say that one of the main meanings of reproduction for Vietnamese people is to get
sons to practice ancestor worship. Only a man could perform the ancestral rituals and pray for the souls of
the dead. If a man died without a son, his lineage was broken and all his ancestors and unborn dependents
5
For example: Lunar New Year; Thanh Minh festival; death anniversaries; the 15
th
day of the seventh moth according to lunar calendar
and so on.
6
For instance: On wedding day of descendants; on day exam of familys members to university; on day to build new house; etc.

512
would die with him. The deep cultural value of sons in combination with the strong government policies
advocating a small family has created conflicts and dilemmas for Vietnam families if no son is born,
especially for the women (Johansson, 1998).

5. Conclusion

The aim of this paper was to provide empirical evidence on the rate of Vietnamese women having a third
child and preference of son in Vietnamese families nowadays. In brief, the researcher arrived at the following
conclusions:
- The rate of women stopping giving birth after the first and second fertility in both urban and rural areas rose,
especially in urban areas, helping decreasing the fertility rate in Vietnam. As a general rule, in well-developed
regions, the rate of women having a third child is low, and vice versa, in remote areas with hard life this rate
is high.
- There still exists the problem of couples giving birth to a third child, especially in some geographic regions,
this rate tends to increase. The reasons for giving birth to a third child arise from indirect causes related to
the implementation of population, family planning in local area such as: there is self-satisfaction about some
achievement; the letting loose of leadership and population work conduction; the organization system of
family planning staff has not been strong enough and overloaded with work; the propagandizing, educating,
providing services and building policies, regimes face many problems, etc. as well as from direct causes
related to the couples themselves.
- Son preference is a prominent feature of Vietnamese culture so that each family wants to have at least one
son. They are responsible for caring for old parents, ancestor worship, continuity the lineage, etc.

References

Anh, T. (Date unkown). Old customs of Vietnamese people. Lancaster: Xuan Thu.
Belanger, D. (2002). Son preference in a rural village in North Vietnam. Studies of Family Planning, 33(4), Pp.321-334.
Central Population and Housing Census Steering Committee. (2010). The 2009 Vietnam population and housing census: Completed
results. Hanoi.
Bich, P.V. (1997). The changes of the Vietnamese family in the Red River Delta. Gothenburg: Department of Sociology. University of
Gothenburg.
Binh, P.K. (1992). Vietnamese customs. Ho Chi Minh Publishing House.
Cu, N.D. (1996). Demography. The Publishing House of Education. Hanoi.
Dong, D.T. (1991). Modification of the traditional family in the South of Vietnam. In: Liljestrm, R. & Lai, T. (eds). Sociological Studies on
the Vietnamese families. Hanoi: Social Sciences Publishing House.
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challange of reform in Indochina. Havard: Havard University.
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modernization period. Hanoi: Social Sciences Publishing House.


513

Foreign Direct Investments and Individual Income in Central Africa

Ibrahim Ngouhouo

Khaled el-Mawazini

Faculty of Economics & Management, University of Dschang, Cameroon
Corresponding author: Dr Ibrahim Ngouhouo, E-mail: ngouhouo@yahoo.fr Tel: (237) 94662260

Doi: 10.5901/mjss.2012.03.01.513

Abstract This article employs a panel of double ordinary least squares to verify the sensitivity of income per capita to the influx
of foreign direct investment (FDI) in the Economic and Monetary Community of Central Africa (EMCCA). Equally, it uses the
granger causality test based on the auto-regressive model, most especially the one recently developed by Toda and Yamamoto
(1995) to establish the causality links between FDI and per capita income in the Economic and Monetary Community of Central
Africa. Results obtained show that there exist a direct effect between FDI and income per capita in the entirety of EMCCA. The
granger causality test shows contrarily that there is no link between FDI and income per capita in the EMCCA countries whereas
the Toda-Yamamoto finds a symmetric link among these variables in Equatorial Guinea, a unidirectional link of FDI towards
income per capita in Congo, Gabon and Chad; and no link between the variables in the Republic of Central Africa and
Cameroon.

Keywords: FDI, income per capita, Mwald, bi-varied VAR, doubled Ordinary Least Squares.

1. Introduction

The effects of foreign direct investments (FDI) in the Economic and Monetary Community for Central Africa
(EMCCA) zone are appreciated differently. Whereas many agree on the fact that it constitutes one of the
principal catalysts of development because of the liquidity that it brings into a zone which has been
performing weakly, others hold contrarily that multinational companies (MNCs) constitute a dual economy
and even create a phenomenon of eviction of local companies. The advantages that come along with MNCs
are not automatically manifested and are not equitably distributed among economic sectors and countries.
For FDI to have positive maximum effects, it is necessary and obligatory for the recipient countries to put in
place generally favorable investment conditions and to re-enforce the necessary institutional and human
capacities for its exploitation.
In the framework of the neoclassical model of Solow (1956), FDI had a long run influence on the rate of
growth per capita and not on the rate of growth because of the presence of a stationary state. Contrarily, the
endogenous growth models elaborate a new theoretical framework where technical progress is endogenous,
that is returns are increasing and the marginal productivities of productions factors are greater than one.
From these works, many empirical studies have been carried out to study the impact of the influx of FDI on
income per head in developing countries with diverged results (the effects of the existence of FDI and the
spillovers experienced in the recipient countries) whereas others have studied the nature of the causal
relation between FDI and economic growth.
Similarly, Carkovic and Levine (2002) found no relation between growth and FDI in a sample of World
Bank countries. Tackling in the same direction, Chowdhury and Mavrotas (2003) found that FDI does not
lead to growth as investigated by Granger in Chili, whereas this causality relation is bi-directional in the case
of Malaysia and Thailand. Other studies in the search of a relation between FDI and growth have indicated
ambiguous results above all from the majority of studies carried out by CNUCED (1999). In this manner of
ideas, Zhang (2001) carried out findings with the aim to determine the direction between FDI and growth in
11 Asian-Latin American countries. This author used temporal series particular to each of the countries and

514
conducted long run causality tests based on the error correction model. The results indicated that no relation
existed between FDI and growth in Argentina in the short run whereas such a relation existed between
growth and FDI in Brazil in the short and long run in Colombia. For the Asian countries, the author found a
short run relationship between growth and FDI in Korea, Malaysia and Thailand. In summary, five of the
eleven countries studied, FDI accelerated growth. For the six countries, there was no co-integration relation
between FDI and growth, only one country exhibited a causality relation between growth and FDI. In the
same order of ideology, an econometric study carried out by Nair-Reichert and Weinhold (2001) using the
Holtz-Eakin causality test in a panel of 24 developing countries between1971 and 1995 found no causal
relation between FDI and growth.
Loesse (2005) in the search for a relationship between FDI and economic growth in Ivory Coast found
that from 1970 to 2001, foreign direct investments were an important source for growth. Other things being
equal, a unit percentage of supplementary FDI entering Ivory Coast leads to an increase of 0,01 percent of
gross domestic product per head. The author holds that the policy of encouraging investment put in place
contributed to increase the influx of FDI, thus the productive capacity of the economy consequently the
increase of gross domestic product.
In analyzing the impact, some authors held that the effects of FDI were positive in the distribution and
amelioration of workers income somehow.
The positive impacts of FDI were verified in the domain of redistribution of wealth and income in some
developing countries like Botswana contrarily to other countries such as Democratic Republic of Congo and
Angola where multinational agencies acted either by corrupting politicians or by buying arms for the countries
(Mold, 2004).
In EMCCA, measures taken in 1999 following the adoption of the Structural Adjustment Program (SAP)
were aimed at rendering the economy more competitive and credible before eventual investors. The
economic openness that followed these measures and the discovery of petroleum deposits notably in
Equatorial Guinea and Chad had as effect an increase in FDI in the zone. Since then, there has been an
important economic growth with at the rate of about 6% from 1995 which led to an improvement of income
per capita in all the countries of the zone. Is this increased revenue of the citizen linked to the influx of FDI?
Will this situation which existed almost a decade ago due to investments influx into the petroleum sector
survive alongside the crisis which the exploitation sector of EMCCA is experiencing? We attempt to answer
these questions in the course of this study.
In section1, we present the trends of FDI and gross domestic product (GDP) per capita in EMCCA. Here
the stress in on the amounts of influx of FDI into EMCCA, their distribution according to sectors as well as the
evolution of income per capita in the zone. We present equally in section 2 a methodology based on
structured empirical models as follows: a multiple regression model that analyses the impact of FDI on
income per capita in the zone in a panel of doubled least squares and a bi-varied model which will allow us to
have the nature of causality link between the two variables, whereas section three analyses the results of the
study.

2. Trends of GDP per Capita and FDI Influx and Distribution According to Sectors in EMCCA

The evolution of FDI influx into a given country or region is a function of several parameters such as
economic and political stability, the population dynamism and its technical know-how and above all a certain
factorial endowment in terms of natural resources for developing countries. Generally, the African continent
attracts less FDI even though some countries are exceptions. From all FDI influx, only 40% went towards
developing countries in 2005 and only 0,48% went towards Central Africa (EMCCA zone). It is therefore clear
that in terms of volume of influx, the Central Africa share remains marginal at the world level. However, in a
considerable manner, these influxes have economic importance for these countries. The introduction of SAP
by the International Monetary Fund (IMF) and the World Bank at the beginning of the 80s was a take off point

515
for a large openness of Central African Economies. Notably, important foreign direct investments have
financed the production and exploitation of natural resources especially gas, hydrocarbon and wood in the
five oil producing countries of EMCCA. In effect, since the world boom of FDI, few studies have been carried
out in Sub-Saharan Africa above Central Africa.
The amounts of foreign direct investments in EMCCA are insignificant as compared to the rest of the
world (see diagram 1). FDI towards Central Africa witnessed a gradual increase after 1991 and went on to
attain a boom from 1999 thanks to the construction of the Cameroon-Chad pipeline project. Central Africa,
above all five of the six countries of the EMCCA zone excluding Central African Republic received 20% of
Worlds FDI in Africa in 2004, which was 80% of Worlds FDI in the Franc zone and 46% in the French
Africa zone representing 82% of French FDI in the franc zone. (See table 1). In 2003, CNUCED estimated
the influx of FDI into Cameroon at 215 billions of franc CFA as against 86 billion in 2002 which was 13,8% of
gross fixed capital formation whereas the stock of FDI for the same period stood at 1,7 billions of US dollars
making 13,9% of gross domestic product.

Table 1. Percent of the Worlds and French FDI towards EMCCA in 2004

Origin

Destination
Worlds FDI

EMCCA share Frenchs FDI EMCCA share

Africa

3

20

4.9(ASS)*

46

Franc zone

1

80

1

82
*Africa south of the Sahara. Source: Afristat.

Table 2. Amount of worlds FDI towards EMCCA between 2000 & 2005 in millions of US $

2000

2005

Increase in value

Increase rate

years

Amounts
FDI influx FDI
Stock
FDI influx FDI
Stock
FDI
influx
FDI
Stock
FDI
influx

FDI
Stock

EMCCA

378

4527

3285

13143

2907

8616

769%

190,3%

Source: Franc zone institute (FZI) and UNCTAD (2005).

The total amount of FDI entering the EMCCA increased from 378 to 3285 millions of US dollars between
2000 and 2005 indicating an increase of 2769%. At the same time, FDI stock moved from 4527 to 13143
millions of dollars, showing an increase of 190% (table 2). In 2003, following the discovery of enormous oil
deposit and an offshore reserve of more than 10 billion barrels, Equatorial Guinea suspended all economic
observatory by positioning itself on top of Sub-Saharan African Countries in as much as the entering of FDI

516
which stood at 1431 million of US dollars as against 323 in 2002. It performed well again in 2004 with 1664
million of US dollars. In 2004, Equatorial Guinea was ranked at the 47
th
world position among recipient
countries of FDI, with 0,26% of FDI influx in the world and 9,52% of FDI destined towards Africa. After
recognizing some stability in the 1990 decade of about 50 million of FDI per year, FDI towards Chad
increased to 115 millions of dollars in 2000. This trend accelerated in 2001 and in 2002 where the influx of
FDI were 460 and 924 millions of dollars respectively before being decreased to 713 and 478 millions of
dollars respectively in 2003 and 2004 according to United Nations. In Congo, FDI witnessed a record level of
668 millions of dollars which has never been experienced since independence. Similarly, Gabon seemed to
have witnessed a level of FDI influx after a slow down period at the start of the 1990 decade, which was
estimated at 559 millions of dollars of FDI that entered Gabon between 2002 and 2004.
In this regard, FDI towards EMCCA is unevenly distributed in the four principal sectors of economic
activities: primary, mining and hydrocarbon, manufacturing and tertiary. In some countries like Cameroon,
petroleum has often been assimilated to the industrial (secondary) sector, but for some years now and taking
into consideration the importance of this resource in the economy of each country of EMCCA, petroleum is
considered as a particular sector. The sectoral division has been very volatile from year to year and even
within each country of the zone. In 2004, FDI towards EMCCA was estimated at 3171 millions of dollars and
from this amount about 85% was invested in the mining and hydrocarbon sector, 11% in the industrial
(manufacturing) sector and about 4% in the tertiary or services sector

Diagram 1.

Flux d'IDE entrant dans la CEMAC
0
1 000
2 000
3 000
4 000
5 000
6 000
1
9
7
0
1
9
7
3
1
9
7
6
1
9
7
9
1
9
8
2
1
9
8
5
1
9
8
8
1
9
9
1
1
9
9
4
1
9
9
7
2
0
0
0
2
0
0
3
Annes
M
o
n
t
a
n
t
s

e
n

m
i
l
l
i
o
n
s

d
e

$
U
S
CEMAC

Source: Diagram realized by authors from CNUCED data
NB: In the above diagram, Flux dIDE entrant dans la CEMAC= Infiux of FDI into EMCCA; CEMAC = EMCCA; Annees =
years; montants en millions de $ = amounts in millions of dollars

FDI remains strongly concentrated in some petroleum exporting countries. EMCCA has suffered and
continue to suffer from the effects of civil war, macroeconomic instability, corruption which restrict the inflow
of FDI. Since, the problems of regional integration have had negative consequences on the development of
these countries because of weak domestic market, railway infrastructure, production costs and wages which
are relatively high.
However, the recent boom of FDI into the EMCCA zone is accompanied by an increase of income per
capita in the entire region. Thus, average income of the zone has moved from 116 to 3346 US dollars in 2008

517
indicating an increase of 300% in five years. All the same, the Cameroon economy which alone contributes
about 40% of GDP in EMCCA receives just a small share of FDI towards this region and consequently its
income per head increases very slowly. After an improvement at the beginning of the 80s (1200 dollars), its
GDP per capita dropped to 526 dollars in 1994 at the times of deep economic crisis and today(2008) is found
at 950 dollars. As concerns Gabon, FDI influences growth through the threshold of income per head. Gabon
has remained for a period of more than 40 years the richest country among EMCCA countries in terms of
income per capita compared to Sub-Saharan Africa excluding the Republic of South Africa with a per capita
income of 4500 dollars whereas Equatorial Guinea with a lot of petroleum resources has become within five
years the richest African country with GDP per capita to the neighbor of 1300 dollars in 2008. Have the
consequences of economic crisis with the fall of the price per barrel of oil change the situation in 2009?
Congo where petroleum resources are in constant increase has equally benefited from an improvement in its
GDP per capita which claimed from 528 dollars in 2004 to 2500 dollars in 2008, indicating an increase of
500% within five years. The same trend was witnessed in Chad where income per head moved from 197
dollars in 2001 to 530 dollars in 2008 thanks to the influx of FDI into the petroleum sector. The Republic of
Central Africa (RCA) which has not benefited from massive influx of FDI due to the lack of petroleum
resources as noted among other EMCCA countries is the only with low GDP per capita but with regular
growth. From this analysis, we found out that income per capita within EMCCA is very volatile and largely
depends on the influx of FDI of the petroleum sector. The financial crisis will largely go to influence the
external sector of EMCCA because FDIs entering this sector are in net reduction notably in the exploitation of
wood where orders are not only scare but those already ordered are on daily basis revoked in the region,
which do not go without consequences for the countries. The question we can ask at this moment is whether
these facts witnessed are empirically verified?

Diagram 2
Rpartition sectorielle des IDE en zone CEMAC
en 2004
hydrocarbures et
mines
manufacture
Service

3. Empirical Model

On the one hand, the empirical model is elaborated with the aim to analyze the impact of FDI on the income
per capita and the causal relationship between FDI and income per head. The first model is a multiple
regression which is best adopted for impact analysis, whereas the second is the VAR model which takes into
consideration the interdependence between the concerned variables.

2.1 Modeling the Regression Through Doubled Least Squares (DLS)

In the framework of our analysis, we use a multiple regression model with income per capita as endogenous
variable and foreign direct investments, inflation rate, and interest rate on human capital as exogenous
variables; and a dummy variable which takes care of forgotten elements in the model. This model is
estimated with the use of data from five countries of EMCCA in a panel of autocorrelation and

518
heteroscedasticity of doubled robust ordinary least squares. It should be noted here that for a dynamic
model, the Durbin Watson (DW) is not valid, reasons for which we have opted for the neutralization of
autocorrelation and heteroscedasticity through the White robust model of doubled least squares which is
equivalent to the method of generalized moments. The estimated model is:
it it it it it it it
e Dum INF Ln HC Ln FDI Ln IPC Ln IPC Ln + + + + + + = ) ( ) ( ) ( )) 1 ( ( ) (
0
|

Ln (IPC
it
): annual growth rate of GDP of country i.
Ln represents the logarithm
Ln (HC
it
): available human capital in country i at time t.
Ln (FDIit) : influx of FDI in country i at time t.
Ln (INF
it
): inflation rate in EMCCA
Ln (INT
it
): interest rated in BEAC as an instrumental variable
Dum: dummy variable
i =1.i =N represents each of country EMCCA
t = 1970.t =2008: temporal indices.
0
|
: Constant term.
it
e
: Error term.

Income per Head; Ln(IPC)

The national income per head is equal to the total national income divided by the number of inhabitants. As
different from the GDP per head, it integrates the revenue of indigenes living abroad and subtracts that of
foreigners living within the national territory including repatriated profits of multinational companies.
Nevertheless, national income is very important in African countries because of many foreign workers who
live abroad and who repatriate their earnings to their countries of origin. The aim of the evaluation here is t
know if FDI favors directly or indirectly the increase of national income per head in EMCCA.

Inflation Rate: Ln (INF)

The rate of increase of consumption prices
1
is a factor which seems directly implicated in situations of over
liquidity. In the empirical literature, we realize that a high rate of inflation often leads to a negative relationship
with FDI and vice versa for a low rate. Considering the difficulties faced by a majority of EMCCA countries in
the act of respecting the convergence criteria in matters of inflation rate, we anticipate a negative sign
between FDI and inflation in EMCCA.

Interest rate: Ln (INT)

Interest rate measures the borrowing capacity of local resources by foreign investors. Therefore the lower it
is, the more the influx of FDI. The dimension of the link between interest rate and FDI changes however
according to the existing regime. Within the EMCCA zone where interest is often considered partially passive,
that is why this variable is used here not as an instrumental variable.


519
Human capital: Ln(HC)

Countries that are endowed with a qualified critical mass of human resources have had a rapid growth and
consequently a high per capita income. The human development index was studied between 1970 and 2008
in EMCCA and we have considered this as a proxy for human capital. We now verify whether there is an
eventual positive effect of FDI on human capital.

Foreign Direct Investments: ln (FDI)

The endogenous variables lagged by a period are equally considered as explanatory variables in the model.
Furthermore and to the interest of the model, an endogenous variable is often considered as an explanatory
variable in another equation. As concern the instrumental variables, the choice is very delicate and that is
envisaged in many of the econometric manuals (Greene, Maddala), the exogenous variables (lagged or not)
and the lagged endogenous variables are the good instruments and consequently are retained. The
regression would have as instruments the lagged endogenous variable by one or two period; and non-lagged
exogenous variables, their true values and the same values lagged by a period.
The dummy variable is used here as an auxiliary variable of the institutions. It takes the value 1 during the
periods when the institutions are favorable for the influx of FDI (civil regime) and zero elsewhere.

3.2 Modeling of the Causality by the VAR Model

Having given that FDI is susceptible to be attracted by the amount of income per capita of a country, the
observed relations could be in general manner be suffering from causality problems of which one of the very
important is the omission of important explanatory variables of the income per capita. The VAR model is the
most efficient consumption price indices in the EMCCA countries when the number of variables is reduced
as in the case of our analysis, further this model allow us to say whether the causality is unidirectional or
bidirectional. Considering the methodology plan, it appears also that some economic studies have violated
the act because they are not rigorous.
1) Many authors have used a group of heterogeneous countries in a panel analysis, whereas these
countries could have been chosen according to well defined criteria. Cross-sectional studies between
countries assumed a certain common economic structure which is far from being the case.
2) The absence of preliminary tests in some studies lead to some biased results.
3) The use of panel model in place of this one in temporal series or vice versa is not always justified.
4) Causality studies lead to diverged results which could be attributed to two principal causes: i) the
choice of the number of lag in most of the studies is arbitrary (Kasibhatla and Sawhney, 1996); ii) the
use of Fishers statistical test to verify causality, whereas it is well established in our days that this
test is not valid if the series are integrated of order one (I(1)) as stressed by Zapata and Rambaldi
(1997) and Gujarati (2004). Further, a majority of studies based on chronological series scarcely
examine double causality, which gives simply a partial view of the possible economic relationships
(Zhang, 1995). We attempt to take into consideration these shortcomings in the cause of our
econometric analysis by verifying the following model:

it it it it
it it it it
IPC Ln FDI Ln FDI Ln
e FDI Ln IPC Ln IPC Ln
c
| | |
+ + + =
+ + + =
) ( )) 1 ( ( ) (
) ( )) 1 ( ( ) (
2 1
2 1
(Equations 1 et 2)

We are using above the Augmented Dickey-Fuller (ADF, 1981) test of estimation to verify for unit root.
Blough (1992) held that unit root tests could falsely reject a null hypothesis of non stationary whereas growth
or FDI possess a weak force against the alternative hypothesis. That is due to the fact that in finite

520
samplings, it was found out that certain processes of unit roots exhibit a closed behavior to the stationary
process of the White noise. These methodological problems are as result due to the use of critical values
based on the asymptotical distribution of Dickey-Fuller. Therefore, taking note of these potential problems in
the verification of unit root, we have used the results of KPSS test as described in Kwiatkowski et al.., (1992)
with the intention to confirm the validity of the results of the Augmented Dickey-Fuller test. This test allows us
in effect to know whether the ADF test is valid and we use the appropriate information criteria of ( Akaike
information criteria and Schwarz, the resemblance ratio, etc ) with the aim to determine the necessary lag
structures to the series under study. These information criteria give a value of one as the number of
appropriate lag to the different series of the model.
As we know, a causality test starts by a co- integration test and if it appears that the variables are of order
I(0) as it is the case here, the causality test is based on an estimated model in first difference as below:

it it it it
it it it it
IPC Ln FDI Ln FDI Ln
e FDI Ln IPC Ln IPC Ln

| |
+ A + A + = A
+ A + A + = A
) ( )) 1 ( ( ) (
) ( )) 1 ( ( ) (
1 0
1 0
(Equations 3 and 4)

Contrarily if the variables are of order I(1), the causality test is estimated according to the error correction
model (ECM). Thus, a change in the income per capita is a function of a change in the past income per head
and a change in the foreign direct investments. Equally, any change in FDI is a function of a past change in
the FDI and income per head. In the context of this model, we say that FDI granger cause income per capita
if we can reject the null hypothesis that the
it
, i =1,.6 are jointly null. Also, we conclude that income per

capita granger cause FDI if we can reject the null hypothesis according to which all
it
|
are jointly null with
i = 1,..6.

2.3 The Statistical Data

In this paper, we have used data from 1970 to 2008 for the six countries of Central Africa which include
Cameroon, Gabon, Central Africa Republic, Congo, Equatorial Guinea and Chad. It is true that in the EMCCA
just as in all developing countries, the paucity of statistical data constitute the principal limitation confronted
by researchers and this study is not an exception. The data on FDI were collected from the Central Africa
Bank and they constituted the net influx of FDI into EMCCA and are transformed to log form; which are from
the World Bank. The data on income per capita were collected from the PENN World Table website and are
expressed in constant US dollars. The inflation and interest rates were extracted from the United Nations
statistical division. These data were treated and refined according to the habitual techniques before the
estimations. When an observation was missing between two values in a series, we used the interpolation
method to arrive at it. When the missing values were many, we estimated them by attributing the averages of
the last 10 years, if not the last five years. The exchange rate used in this paper is the official rate between
the Euro/the dollar and the franc CFA that is a Euro/dollar at 650/550 franc CFA. It should be noted that a
fixed parity exist between the Euro and the franc CFA, whereas this does not exist between the dollar and the
franc CFA. Equally, the stability of the variables Ln (IPC), Ln (FDI), Ln (HC) was verified. In effect, all the
roots were found within the unitary circle and satisfied the stability conditions in all the countries taken
individually and in the EMCCA zone taken as a whole.

3. Results

3.1 The impact of FDI on Income per Capita

The results of the model presented on table 3 give an adjusted coefficient of determination of 99%. The test
gives a globally significant result with a J statistic of 212. In this case, a change in FDI brings about a change

521
of income per head in the same way. The result obtained shows that the behavior of FDI can play a certain
role on the standard of living in EMCCA countries. In effect, the recovery of the petroleum prices and other
raw materials coupled with the new discovery of oil deposits has revamped since a decade the influx of FDI
and the level of income per head and has multiplied these values in some countries of the zone two to three
times (section 2). The inflation rate and human capital as well as income per head lagged by a period are
also significant with an aberrant sign for human capital. Apart of human capital, all the other variables are
directly linked to income per capita in the EMCCA. In other words, the more a country benefits from a
massive influx of FDI in the EMCCA and has good institutions, the higher the income per head in the country.
At the country level, income per head has witnessed an unimaginable boom in Equatorial Guinea thank
to the influx of FDI into the petroleum sector; whereas it was just 200 dollars per year a decade ago, the
income per head of an Equatorial Guinean is estimated actually at more than 9000 dollars per year because
of the influx of FDI into the petroleum sector. The educational level has well improve due to the increase of
income and many youths more and more go for further studies abroad sponsored by the state which was
impossible ten years ago. This result is however disturbing as there is a marked inequality in the distribution
of income in favor of the ruling leaders. The income per head is also directly linked to FDI influx in Congo
where income per head is ranked third after Equatorial Guinea and Gabon in the EMCCA. In the same order
of reasoning, the national income per head in Gabon has remained for a long time one of the highest in Africa
thanks to FDI. Gabon has been the first country to receive per inhabitant FDI for more than twenty years and
the decrease of FDI in the 90s caused to reduce the income per head in the country. More than 60% of the
population by 1999 lived below the poverty threshold, with monthly income less than SMIC 64 000 francs
CFA (97,567 Euros).
Equally, the improvement of the income per head is also net in Chad since the FDI boom from the
ending of the 90s. In effect, the income per head of this country has moved from 193 in the year 2000 to 630
dollars in 2005 due to the influx of FDI into the petroleum sector.
The situation in Cameroon is not similar to that of the other countries of EMCCA because this country
benefits less FDI due to its low petroleum production. A quarter of the budget in 2006 in Cameroon came
from the petroleum sector, as against 80% in the other countries of EMCCA. In the same manner, Central
Africa Republic which receives less FDI because of the absence of hydrocarbons endowment has the least
income per capita in EMCCA...

Table 3. Estimation of the national income per head equation

Dependent variable: LOGIPC
Method: Panel Two-Stage EGLS (Cross-section SUR)
Date: 19/08/11 Time: 00:57
sample (adjusted): 1972 2008
Number of countries included: 6
panel equilibrium of 222 observations
Linear estimation after one-step weighting matrix
White cross-section standard errors & covariance (d.f. corrected)
List of instruments: C LOGIPC LOGIPC(-1) LOGIPC(-2) LOGFDI
LOGFDI(-1) PRO INFR INFR(-1) HC(-1) INTR INTR(-1)

Variables Coefficients
Standard
deviation Statistic Probability.


522
C 0.223492 0.069619 3.210243 0.0015
LOGIPC (-1) 0.941300 0.031844 29.56014 0.0000
LOGFDI 0.002508 0.000820 3.058474 0.0025
PRO 0.051375 0.018213 2.820737 0.0052
INFR 0.000983 0.000506 1.943549 0.0533
HC -0.243980 0.183673 -1.328339 0.1855

Specification of effects

Cross-section fixed (dummy variables)

Robust statistics

R-squares 0.998149 Dependent variable mean 26.19901
Adjusted R squares 0.998062 S.D. dependent variable 23.02096
Standard deviation of the
regression 1.013501 Sum squared residual 216.7358
Durbin-Watson stat 1.959472 J-statistic 206.4838
Instrument rank 17.00000

Non robust statistics

R- squared 0.967004 Mean of the dependent variable 2.775768
Squared error residuals 1.752047 Durbin-Watson statistics 1.963596

3.2 Causality Analysis Between FDI and Income per Capita

3.2.1 Stationarity and Co-Integration

The stationarity test shows that the FDI series is stationary in Congo, Cameroon, Equatotrial Guinea, and
Chad and in Central Africa Republic whereas the IPC series is not stationary in Gabon and Cameroon. Table
4 gives a precise idea of the Augmented Dickey-Fuller test. That of Philip Perron gives sensibly the same
results. The stationarity of series are at level, therefore are integrated of order 0 (i.e. I (0)), whereas the
others are stationary at the first difference thus integrated at order 1 (i.e. I (1)). As we mentioned earlier
above the co-integration is a precondition for the causality test. The Johnson co-integration test is preferred
to that of Augmented Engle Granger in this study because where the first is conducted in the context of a
VAR model that we have used here. The selection of the lagged number was executed taking into account
the minimum value of several criteria, and a unanimous result of the criteria recommends considering 1 as
the retained lag for all the variables in all the countries. Table 5 shows the result the Joyansen trace test and
the eingen-value maximum test of the same author in the six countries of EMCCA. The logFDI and the
logIPC are stationary in Cameroon whereas in the other EMCCA countries, only the logFDI is stationary as
shown by table 4. We know equally that the unit root and co-integration tests are not very strong when we
have less than 100 observations (Maddala and Kim 1998, 219), reason for which we equally went further to
the Philip Perron test, which confirmed the results of the ADF test.
Two co-integration tests were equally conducted for each country of the EMCCA with the aim to test for
causality; that is the trace test and the eigen-value test of Joyansen. The first is found on table 5 and it
indicates with null hypotheses the existence of 0 co-integrated vector and more, one vector must be rejected
at all times for Cameroon and for Gabon, whereas this test is not rejected for Congo, Chad, Equatorial
Guinea and RCA where it admitted a co-integrated vector.

523
3.2.2 Causality Analysis

The Granger causality test shows that there is no causality link between FDI and income per capita in the
countries of EMCCA. Consequently, FDI does not cause income per capita and vice versa for income per
capita. This situation could be explained partly by the small sample used for this analysis and partly by the
fact that the history of FDI in some countries like Chad and Equatorial Guinea which are however the first
recipients of FDI in Central Africa dates less than a decade of years. Nevertheless, a second estimation by
the modified Wald method (MWald) developed by Professors Toda-Yamamoto (1995) and by Dolado and
Lutkepohl (1996) were conducted. This method consisted to estimate the VAR model at level with the
advantage that we do not worry to know if the series are stationary or not or whether there are integrated or
co-integrated. The only thing to do is to determine the maximum order of integration of the VAR model which
could occur in the course of the estimations called (d-max) and undervalue intentionally the model at level
with an additional lag (d-max) i.e VAR (p), with p = k=d. The habitual test of Wald is also carried out on the
first matrices coefficients using the two standards Chi statistical tests (see table 8). This test is well
appreciated for its simplicity according to Rambaldi and Doran (1996). The only inconveniency of this test as
stressed by Zapata and Rambaldi (1997) is the loss of the power of test in reduced samples. It is therefore
useful to compare the result of this test to that based on the VAR at first difference. Thus, table 8 confirms the
result in Cameroon and the one of RCA. In effect, these two countries are those receiving less FDI, the first
for its low petroleum resource potentials and the second for the total absence of the resources. Contrarily, the
results of Gabon and Equatorial Guinea which are the two richest countries in petroleum resources in
EMCCA show that a bidirectional or symmetric causality between FDI and Income per capita for Equatorial
Guinea, and unidirectional causality of FDI towards the income per capita for Gabon. We experience equally
a change in the result of Congo and that of Chad. Foreign direct investments directly cause income per
capita in these two countries, whereas the inversed relation is not verified.
In total, we realize that FDI directly cause income per capita in four of the six countries of EMCCA,
which are Gabon, Chad, Congo and Equatorial Guinea. This causality is symmetrical in Equatorial Guinea,
whereas there is no causality link between FDI and Income per capita in Cameroon and RCA. It is equally
necessary to point out that the countries where this causality exists are those with more natural resource
endowments and consequently receive more FDI. These FDIs are concentrated in the petroleum sector and
in the trade for wood. These results conform to most of the results obtained in the previous studies i.e there is
no official rule for these causality analyses in developing countries. The results vary from country to country
and even in the same country, this result is sensitive to the methodology used (number of lag used in the
VAR model, samples, etc). However, the essential question is that to know whether the improvement
witnessed in the income per capita thanks to FDI could sustain the financial crisis. In effect, the financial
crises which have become economic crises limit dangerously the influx of FDI in EMCCA. Wood orders are
being reduced and we cannot even count the many contracts revoked between foreign investors and local
businessmen, nevertheless, it is difficult to say what will be the consequences of this crisis on the economy of
EMCCA.

4. Conclusion

Our general conclusion is that influxes of FDI towards Central Africa remain very low (1% in relation to
Worlds influx and represents only 20% of FDI influx into Africa). The FDI influx into EMCCA have remained
stable at an average level of 35 millions of dollars per year and per country between 1960 and 1970, and
have increased gradually with the discovery of oil in Congo, Gabon and Cameroon. This increase
accelerated at the end of the 90s with the discovery of petroleum in Chad and Equatorial Guinea, making
EMCCA to be one of the privileged destinations of FDI towards Sub-Saharan Africa, even if the influx are
concentrated in the energy sector.

524
Elsewhere, it is realized from our analysis that there exists a significant and positive effect between
FDI influx into the countries of EMCCA taken as an economic entity (regression model), whereas taken
individually by the granger causal analysis, this link does not exist in any country. Contrarily, for a causal
analysis by the modified Wald method, there exist very well a causality relationship of FDI towards income
per capita for Congo, Gabon and Chad. This relationship is symmetrical in Equatorial Guinea where the high
income per head attracts foreign investors notably Moroccans in the construction sector, Americans and the
French in the petroleum sector. As against, this relation does not exist in Cameroon and in the Republic of
Central Africa, countries with less natural resource endowments, therefore receiving less foreign direct
investments.

Table 4. Unit root test

Country

Variables

ADF test Integration order Stationnarity
decision
Log FDI -6.80204
(0.000000)

I (0)
stationary
Cameroon
Log IPC -2.94698
(0.04940)

I (0)
stationary
Log FDI -1.90846
(0.00000)

I (0)
stationary
Gabon
Log IPC -3.96910
(0.00000)

I (0)
Non stationary
Log FDI -11.18905
(0.00000)

I (0)
stationary
Equatorial
Guinea Log IPC -0.98508
(0.9343)

I (1)
Non stationary
Log FDI -5.09602
(0.0010)

I (0)
stationary

Congo

Log IPC -1.40450
(0.8435)

I (1)
Non stationary
Log FDI -5.01448
(0.00000)

I (0)
stationary
RCA
Log IPC -1.77570
(0.3865)

I (1)
Non stationary
Log FDI -2.44623
(0.1364)

I (0)
stationary
Chad
Log IPC -2.04
(0.56)

I (1)
Non
stationary

Table 5. Joyansens Co-integration test

Country

Hypotheses
Present of co-
integration)
Integration
order of
VAR
Trace
test
Critical
value at 5%
Probability*

0 1 22.18255 15.49471 0.0042
Cameroon
>1 1 6.582952 3.841466 0.0103
0 1 36.66777 15.49471 0.0000
Gabon
> 1 1 5.332530 3.841466 0.0209
Equatorial 0 1 14.01568 15.49471 0.0825

525
Guinea >1 1 0.788844 3.841466 0.3744
0 1 10.84927 15.49471 0.2209 Congo

>1 1 1.086261 3.841466 0.2973
0 1 19.68849 0.0373 0.0110
RCA
>1 1 4.336170 3.841466 0.0373
0 1 10.84927 15.49471 0.2209
Chad >1 1 1.086261 0.2973
*MacKinnon-Haug-Michelis (1999) p-values

Table 6. Joyansens co-integration test

Pays

Hypotheses

Integration
order of the
VAR
Max-eigen
statistics

Critical
value at 5%
Probability*

0 1 15.59960 14.26460 0.0306 Cameroon
> 1 1 6.582952 3.841466 0.0103
0 1 31.33524 14.26460 0.0000 Gabon
> 1 1 5.332530 3.841466 0.0209
0 1 13.22683 14.26460 0.0724 Equatorial
Guinea > 1 1 0.788844 3.841466 0.3744
0 1 9.763007 14.26460 0.2280 Congo
> 1 1 1.086261 3.841466 0.2973
0 1 15.35232 14.26460 0.0335
RCA
> 1 1 4.336170 3.841466 0.0373
0 1 9.763007 14.26460 0.2280 Chad
> 1 1 1.086261 3.841466 0.2973
*MacKinnon-Haug-Michelis (1999) p-values

Table 7. Granger causality test

VAR Granger Causality/Block Exogeneity Wald Tests
Date: 19/08/11 Time: 08:05
Sample: 139 ; Included observations: 37
Cameroon
Dependent variable: D (LOGFDI) Dependent variable: D (LOGIPC)
Excluded Chi-sq df Prob. Excluded Chi-sq df Prob.
D (LOGIPC) 0.000738 1 0.9783 D (LOGIPC) 0.834919 1 0.3609
All 0.000738 1 0.9783 All 0.834919 1 0.3609
Gabon
Excluded Chi-sq df Prob. Ecluded Chi-sq df Prob.
D (LOGIPC) 0.007384 1 0.9315 D (LOGIPC) 0.009583 1 0.9220
All 0.007384 1 0.9315 All 0.009583 1 0.9220
VEC Granger Causality/Block Exogeneity Wald Tests
Date: 19/08/11 Time: 08:05
Sample: 1 39 ; Included observations: 37

526
Equatorial Guinea
D (LOGIPC) 0.001151 1 0.9729 D (LOGIPC) 0.146140 1 0.7023
All 0.001151 1 0.9729 All 0.146140 1 0.7023
Congo
D (LOGIPC) 0.301811 1 0.5827 D (LOGIPC) 0.374412 1 0.5406
All 0.301811 1 0.5827 All 0.374412 1 0.5406
RCA
Dependent variable: D (LOGFDI) Dependent variable: D (LOG IPC)
D (LOGIPC) 0.354726 1 0.5514 D (LOGIPC) 1.69E-05 1 0.9967
All 0.354726 1 0.5514 All 1.69E-05 1 0.9967
Chad
D (LOGIPC) 0.30181
1
1 0.5827 D (LOGIPC) 0.374412 1 0.5406
All 0.301811 1 0.5827 All 0.374412 1 0.5406

Table 8. MWaLD modified causality test (Toda-Yamamato Dolado-Lutkepohl)

MWald VAR Granger Causality/Block Exogeneity Wald Tests
Date: 19/08/11 Time: 08:05
Sample: 139; Included observations: 37
Cameroon
Dependent variable: LOGFDI Dependent variable: LOGIPC
LOGIPC 1.707585 1 0.4258 LOGIPC 0.774141 1 0.6790
All 1.707585 1 0.4258 All 0.774141 1 0.6790
Gabon
LOGIPC 1.801705 1 0.1795 LOGIPC 3.196466 1 0.0738
All 1.801705 1 0.1795 All 3.196466 1 0.0738
Equatorial Guinea
LOGIPC 7.066108 1 0.0079 LOGIPC 4.531314 1 0.0333
All 7.066108 1 0.0079 All 4.531314 1 0.0333
Congo
LOGIPC 0.057741 1 0.8101 LOGIPC 7.273084 1 0.0070
All 0.057741 1 0.8101 All 7.273084 1 0.0070

527
RCA
Excluded Chi-sq df Prob. x Chi-sq df Prob.
LOGIPC 0.161804 1 0.6875 LOGIPC 0.520592 1 0.4706
All 0.161804 1 0.6875 All 0.520592 1 0.4706
Chad
LOGIPC 0.057741 1 0.8101 LOGIPC 7.273084 1 0.0070
All 0.057741 1 0.8101 All 7.273084 1 0.0070

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529

Electoral Systems in Albania as a Result of Political Wills

Blendi eka

University of Tirana
Department of Political Science
Email: blendi.ceka@gmail.com

Doi: 10.5901/mjss.2012.03.01.529

Abstract It is important to note that there is no perfect electoral system model and any country that has to select a new system
is facing a very difficult choice. Of course that is easy to predict the mechanical effects of the chosen system, but when it comes
to the psychological effects, the matter is more complicated, because of the institutional, political, cultural and social implications.
The choice of electoral system in order to produce positive effects for the political system and society itself must fit maximally
with the context in which it is applied. Questions such as: what is the experience with democracy and democratic institutions,
what can be classified as country level of heterogeneity, what is citizen participation in elections, how important is to improve the
gender balance, how important is political stability, seem to guide us in determining the most appropriate electoral system for a
country. What is important to note, is that there is no electoral system that guarantees all the dimensions above, so the choice
should reflect a compromise and fundamental interests of society.

Keywords: electoral systems, index of disproportionality, winning majority, natural minority, district magnitude and electoral
threshold.


Most of the institutions that influence the formal electoral rules can be grouped into three subdivisions.

- Constitutional structure, which essentially represents the broad institutional context of a country.
This structure determines whether the executive has presidential or parliamentary nature, if the
legislature is organized into one or two rooms, if power is centralized in a central government or is
federal in nature (Norris 2007).
- The electoral system is concerned with several aspects of electoral law, including a) the structure
of the ballot paper which defines how voters can express their preferences, b) the electoral
threshold or minimum number of votes required for a party to be represented in parliament
(Taagepera&Shugart 1989), c) the electoral formula that determines how votes translate into seats,
and d) district magnitude that has to do with the number of mandates that are produced by a
certain electoral zone (Norris 2007).
- Electoral procedures deal with a set of rules, codes, guides, distribution of voting centers, voting
documentation, drafting of the ballot, the counting process, regulations on political party financing
and media coverage (Norris 2007).

What constitutes the real interest of this paper, more than the constitutional structure and electoral
procedures, has to do with the nature, effects and classification of electoral systems in case of Albania.
Since the publication of the influential works of (Duverger 1954) and (Rae 1967) literature on electoral
systems, classification and their influence appears to have increased rapidly. According to this literature
dating to the early 60', electoral systems can be classified into three main families, each of which is
comprised by a considerable number of subgroups (Lijphart 1999).
The first family is the majoritarian one, that includes subcategories like Majority Minimum System, the
Majority System with Two Rounds, Block Vote System, the Non-transferable Single Vote System and

530
Alternative Vote System. On a global scale 91 of 191 countries use electoral systems that are included in the
first family for parliamentary elections. The purpose of majoritarian electoral systems is to produce a natural
or artificial majority. These systems produce an effective one-party government and a functioning
parliamentary majority. On the other hand these systems penalize smaller parties and especially those
parties whose support is spread out across the country (Lijphart 1999).
The second family is that of combined electoral systems which uses majoritarian and proportional
formulas. A growing number of countries have begun to apply the combined electoral systems (Italy, Russia,
New Zealand), using different electoral formulas within the same context. Two of the largest subdivisions in
the family of the combined electoral systems are a) the combined dependent systems where the two parts of
the system relate to each other and b) the combined independent electoral systems where the two parts of
the system operate independently from one another (Norris 2007).
The third family of proportional electoral systems includes subdivisions like Party List System and
System of the Single Transferable Vote. These kinds of party-list electoral systems are found widely in all
Western Europe. Globally 62 countries apply this type of system (Norris 2007). Party lists can be opened, as
in Norway, Finland, Netherlands and Italy. In this case, voters express their preferences for individual
candidates within the party list. These party lists can also be closed, as in Israel, Portugal, Spain and
Germany. When the lists are closed the ranking of candidates is made by the party leadership forums. Voters
in this case vote for the party and depending on the results, its determined the number of the winnining
candidates for each party (Lijphart 1999).

2. The Main Features of the Electoral Systems in Albanian Case After the Fall of Communism

What could be considered the main feature of the electoral systems in Albanian case during 20-years of
transitional democracy, is their systematic change. In each parlamentary elections held in Albania we found
either change on electoral system family or changes of electoral formula within the same electoral system
family. During post-communist decades, Albania experienced different electoral systems as purely
majoritarian on 1991, combined dependent on 1992, 2001, 2005, combined independent on 1996 and 1997
and regional proportional on 2009. In the case of combined dependent electoral system applied, the majority
part of the systems can be classified as majoritarian on 2001 and first past the post on 1992 and 2005. What
can be noticed in terms of electoral systems volatility, is the shift from majortitarian families towards
combined and further more on proportional ones. The permanent switch of the electoral systems offered
different political outputs that are reflected on entire Albanian political system and on the model of democracy
that Albania is experiencing (Electoral Law 1991, 1992, 1996, 1997, 2003 and 2008).
The syndrom of change can be observed even in the size of the Albanian legislative bodie especially
in the first post-communist decade. The size of the legislative bodie varied from 250 members of parliament
on 1991, 140 on 1992 and 1996, while on 1997 parliamentary elections the number of the MPs was
increased on 155. On 1998 the new Albanian Constitution passed through a popular referendum. In the new
Constitution the size of the Parlament changed again in 140 MPs and it remains the same during the
parliamentary elections on 2001, 2005 and 2009 (Albanian Constitution 1998).
Different electoral systems applied, offered to Albanian politics the chance to experience several
models of oppositions and majorities ranging from weak, moderate and strong ones. It seems that the taste
from the previous experiences has dictated the choice for the new ones. This could be said not only for the
political actors in Albania but also for the international bodies which assisted almost all the electoral reforms
in Albania (Albanian CEC 1991, 1992, 1996, 1997, 2001, 2005, 2009).
Its important to notice that several electoral systems applied in Albania have produced a complex
relationship among smaller - bigger political parties and variations on the number of the effective political
parties in the party system. Because of the changes of the electoral systems, the number of the effective
parties in the party system has changed also. The change on the party system is reflected even in the

531
balances of power within the parlament. In this regard, smaller political parties becauese of the electoral
systems, in some cases had a crucial role within the parlament and in some other cases their role was not
significant at all.
One of the common denominators of the electoral systems applied in Albanian case are the consistent
majoritarian formulas on each electoral system implemented, except the last parlamentary elections of 2009.
On the parlamentary elections of 1991, 1992, 1996, 1997, 2001, 2005 at least 100 MPs from the entire
legislative, are elected by majoritarian formulas (first past the post or majoritarian). 15 years of experience
with majoritarian formulas is reflected in the way that politicians and parties in Albania, are getting familiar
with this type of political competition among them. Candidate based electoral competition during all this
period, has reinforced a logic of competition based on the candidates and their personal reputation. Also the
voters are used to understand the political competition on candidate based campaigns, and through their
learned expectations reinforce the way the political parties run the campaigns. This was the case on 2009
parliamentary elections where despite the regional proportional natyre of the electoral system, the most
experienced parties organized campaigns very similar with those on majoritarin systems (candidate oriented
campaign).
In terms of electoral thresholds used in different electoral systems applied in Albania, its important to
notice that Albania could be classified as those countries with average thresholds. Usually the thresholds
used, take into consideration the size and location of especially one of the main ethnic minorities in Albania,
the Greek one. As it is shown in the graphic 1; on 1991 parliamentary elections the concept of the threshold
its not applicalble, taking into consideration the type of electoral system used which is majoritarian. While
relating to other parliamentary elections except 2009 (the thresholds used are on district level), the threholds
used are on national level.

Graph 1.

Electoral threshold for each parliamentary election
0
4 4
2
2,5 2,5
3
0
0,5
1
1,5
2
2,5
3
3,5
4
4,5
1991 1992 1996 1997 2001 2005 2009
Years when parliamentary elections are held
ETH %

Relating to the index of disproportionality, different electoral systems have produced different indexes. In
some cases the index of diproportionality could be considered within the theoritical expectations, while in
some other cases its values are higher than expected due to tactic voting, manipulations and extraoridinary
context where elections are held.
The average index of disproprotionality of the main parties in Albania seem to correlate positively with
the overall index.


532
Graph 2.

0
5
15
20
30
35
1991 1992 1996 1997 2001 2005 2009

Graph 3.

General disproportionality combined
with disproportionality of the main parties

0
5
10
15
20
25
30
35
1991 1992 1996 1997 2001 2005 2009

ID%
DP
PS
PD

The type of majorities that different electoral systems have produced, vary depending on the natyre of the
elctoral system itslef. There are 4 winning majorities (where the percentage of the national votes and
percentage of the winning mandates in the parliament can be considered as absolute majorities). There is 1
manifactured majority on 2001 elections (where the percentage of national vote for the winning party is below
50% of the national vote, but in terms of mandates it reached an absolute majority). There are also 2 natyral
minorities (where the winning party gets less than 50% of the national vote and mandates in the parliament).
According to Rae (Rae 1967), all the families of the electoral systems can produce manifactured majorities,
but moslty those of first past dhe post, majoritarian and combined indepenedent. In the case of Albania, there
are different findings. Only once we found a manifactured majority on 2001 parliamentary elections (the
electoral system is combined dependent, and the majoritarian part is majoritarian with two rounds). While the
parliamentary elections of 1991 (majoritarian with two rounds), parliamentary elections of 1992 (combined
dependent), 1996 and 1997 (combined independent) produced winning majorities. Meanwhile despite the

533
similarity of 2001 and 2005 (majoritarian part was first past the post) electoral systems, the majority of 2005
parliamentary elections is considered a natural minority (Albanian CEC 1991, 1992, 1996, 1997, 2001, 2005,
2009).

3. The Perspective of Institutional Rational Choice and the Albanian Case

According to this prespective formal electoral rules (as independent variable) have an impact in the political
actors strategies (intermediate variable). The political actors adapt their strategies to the electoral rules in
order to maximize their political interests. The impact of electoral rules is not limited only on the strategies of
the political actors, but indirectly they influence even the voters understanding of the political competition and
their behavior (dependent variable) (Norris 2007). Voters are effected by the strategies used by the political
parties, candidates and their reactions vary according to these strategies. Different electoral systems and
rules put pressure on political parties to adopt adequate strategies and campaigns in order to maximaze their
chances. The strategies adopted by the political actors serve as guide for the voters behaviour (Norris 2007).

Schematically the institutional rational choice prespective can be summerized as follows:

Electoral systems/ electoral
rules
(Independent variable)
Party System, Competition of
political parties
(Intermediate variable)

Electoral Behaviour
(Dependent Variable)

What is important to note in case of Albania is that more than an independent variable electoral systems, can
be considered as dependent variable or as an effect of the political will of the two main parties in the country.
The political product of 1991 seems to have been decisive in this regard. Only in this year's election, the
electoral system can be considered as an independent variable (as determined by the state party years ago),
while in all other elections cannot be considered as such.
The two main parties following the election of 1991' have been the main voice in any electoral system
change made in the coming years. This means that they have produced systems that have guaranteed most
of the time their interests. Compilation of reforms or Electoral Codes by representatives of political parties
and their approval in Parliament (where the representatives from both parties have the absolute majority) has
made it possible for any code to have the blessing of the major parties in other words guarantee their
interests. According to Pippa Norris, "where an electoral system has existed for decades, the impact of the
system in the type of party competitiveness and the political product is visible. While in those countries where
electoral systems have less longevity, is much less expected to have one way cause-effect logic between
systems (rules) and party competition or political products. What is expected in these countries (which
Albania is part of) is a cyclical relationship with the kind of competition and main party interests which shape
the electoral system (or rules) and these systems or rules preserve the dominance of the parties which
produced it.
Certainly, in the case of Albania the main political parties have never been alone at the Parliament in
the drafting and approval of Election Codes (where the electoral system formula is included). Agencies or
international organizations with the status of the assessor (certifier) of elections had a significant role with
their recommendations that have influenced the electoral process in Albania. These recommendations have
been more technical in nature about the process management, and they have directly addressed election
formulas a lot less. Smaller parties have had a voice in the process of drafting Election Codes, but in almost
all cases where they have been against the will of major parties, their disagreements with the Code or
specifically with the election formula have never been taken into account. In terms of other players such as

534
civil society, their role in discussions on the Code and the choice of electoral formula has been in the best
cases vague or almost inexistent.
In the logic of the influence of large parties and other stakeholders on electoral formulas used in
Albania, the unique case (including other countries that are considered transitional democracies or
consolidated) in Albania is in 1997, the Council of Ministers asking the Constitutional Court to change the
formula for allocating seats for the proportional part of the system (a request that was taken into account).
In summary, the institutional rational choice perspective does not apply in the case of Albania, because
with the exception of the 1991 elections never in the coming years the system cannot be considered
(regarded) as a pure independent variable, but dependent on the willingness of parties and predictable in its
effects which mostly are in favor of the main political parties.

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fq 184-85, Tiran 1997


535

Libyan War: A Just or Sinful Intervention

Bakare Najimdeen

Lectures at the department of International Relations,
Preston University Islamabad
Email: Olaaayo@gmail.com Telephone: 0092-3335297915

Doi: 10.5901/mjss.2012.03.01.535

Abstract The paper explores the recent invasion of another Muslim state under the auspices of UNSCs resolution 1973 and
shouldered by NATO. The crisis in Libya leading to the invasion demands deeper understanding of the societal foundation of this
North African country. It is equally important not to analyze the events in isolation and independent of the unfolding realities in
the Middle East and North Africa (MENA). The Libya crisis is significant because unlike similar uprising in the region, it was
singled out for foreign intervention. Thus, this piece is therefore looking at the invasion with a multifaceted lens by exploring
competing worldviews on the intervention. This piece will also not fail to identify the possible fallouts of the invasion, keeping in
view the opportunists and losers of the intervention. This paper argues that the military intervention in Libya depicts the
continuous transformation facing the modern state system and more particularly contributes to our understanding of state
sovereignty and its alterations.

Keywords: Humanitarian intervention, irrational action, rational choice, solidarity,

1. Introduction

The treaty of Westphalia remains an undisputable watershed in international relations. It was a break and
turning point from the parochial, existential, old regime of feudalism (David Held et al, 1983) The treaty paved
way for the manifestation and rise of nation-state as a political player and unit. State sovereignty turned out
as the most critical and prime aspect of the treaty, but such distinctive feature of the state which according to
Korbin implies a world of exclusive geographic jurisdictions, where economic and political control arises from
control over territory (Stephen Korbin, 1997) is getting transformed.
Arab world has long been characterized as one of the centres of authoritarian rule and oppression
where the public has no gut to challenge the rulers. Such representation was demystified by recent uprisings
across the Middle East and North Africa (MENA).
Giving this background, it is deem worthy to scan through competing views expounding the justification
of the intervention, whether just or sinful meddling.

2. The Westphalian School:

To start with, every critical mind of world politics and international relations abhors the invasion in all
respects. The rejection of the invasion which most likely could turn out to be informal occupation is not an
acknowledgement and approval of the atrocities perpetrated by Col. Gadaffi, rather a staunch belief that the
territorial integrity and sovereignty of Libyan should remain impregnable. Systemic change demands no
external meddling instead changing the bearing of action should always come from within. Protagonists of
this argument fundamentally subscribe to the core and enshrining Westphalia framework of non-interference
in internal affairs of state and the equality of state (William Nester, 2001).

3. Post Westphalian School

This school opined that sovereignty cannot be upheld sacred in the case of Gadaffis brutality of his own

536
people that daunts every reasonable mind. Violation of human rights or aggression of state on its citizens
falls into the category of violation of international norms, wherein human rights dwell. These norms have
become acceptable consensus and a breach is potential enough to trigger collective reaction of the
international community. Therefore, Michel Foucault helps us to better understand that the response of the
UNSC at the behest of Western powers pints to the essential role of the theory of law, which is often geared
at fixing and consolidating the legitimacy and domination of power that be (Michel Foucault, 1983).
Deductively, the power that be will cease to condone violation of the set of international rules and
norms, particularly when such violation is sensitive to the powers interest. The latter argument settles down
well with the rationalist, believing that states choice and action is rational and appropriate because such
actions suits states national interest. The school holds that sovereignty of the second state is less substantial
or more likely less important; because failure to take action might end up undermining the national interest of
the state that failed to be pragmatic.

4. Globalist

The afore discussed school is complemented by the Globalist. Accordingly, the demurring question to the
mind of the globalist is whether the concept of sovereignty should still be respected and if at all does the
foundation laid down by the Westphalia treaty is anything of substance in todays increasingly changing
world. It can be rightly argued that, the foundation has lost its grip and the pillars holding sovereignty has
been damaged by history and developments. Human migration either voluntarily or forcefully due to
manufactured or natural risk, unintended ramifications of natural disasters, interconnectedness of global
geography, the influence of globalization, violation of human rights, the interconnectedness created by the
order of information technology, regionalism, institutionalism, and the global civil society to mention few have
all contributed to the change facing the concept of sovereignty.
Thus, the world is believed to be driving towards a more compressed world, where time and space can
be bridged with ease. It is a world where we are increasingly going cosmopolitan and trekking towards a
global commonwealth. (Daniele Archibugi, 2008) Hence, the lot of Libyans, suffering under the authoritarian
claws of Gaddafi should be curtailed. This should also be true for all state irrespective whether they fall into
the bracket of global north or south.

5. Islamic Perspective

The Libyan campaign received an obvious mixed reaction from the Muslim world. While many were dismayed
by the attack as a repetition of Iraq and Afghanistan scenarios, the invasion played into the hands of religious
experts of Islamic studies and law. Ian Markham among others reverberates the just war tradition, according
to him eight essential principles are indispensable values even respected within the framework of Islamic
concept of war. (Markham 2009)The point of argument for the latter goes deep into the Islamic jurisprudential
injunction of the right to protect the oppressed people (Mustad'afin) as stated in the Quran
And if it were not for Allah checking some people by means of others, the earth would have been filled with
mischief and corrupted, but Allah is full of bounty to the worlds. (Q2 vs. 251)
In support of the Quranic verse, the traditions of the Prophet Muhammad (peace be upon him) also argue in
similar direction.
Narrated Anas: Allahs Messenger, peace be upon him, said, Help your brother, whether he is an
oppressor or is being oppressed. People asked, O Allahs Messenger! We help the one being oppressed
but how do we help an oppressor? The Prophet said, By seizing his hand (preventing him from oppression).
(Sahih Bukhari, Volume 3, Book 43, Number 624)
Abu Sa`id Al-Khudri reported that messenger of Allah (PBUH) said Whoever sees something wrong
should change it with his hands. If he is unable to do so, then he should do so with his tongue. If he is unable

537
to do so, then he should do so in his heart, and that is the weakest of faith.

(Sahih Muslim, Volume 1,
Number 79, p.33)
The Quranic verse and traditions are clear indication that Islam as a religion does not cherish the ideas
of authoritarianism, oppression and aggression. This argument is an entrenched principle of the concept of
enjoining good and forbidding mischief, Amr bil Ma'ruf wa Nahy an al Munkar
The debate created by the Libyan campaign within the epistemic Islamic community was a testimony that
argumentative and intellectual enterprise is not a dead exercise amongst the Muslims. It further shows that
Muslims like every other citizens of the world can abide by the international norms guiding global conduct.
Conspicuously, this explains why the Arab League conceded to the UN resolution
1
that action should be
taken to change the cause of event in Libya.

6. Psychological Approach

One needs to comprehend the rationale behind Gadaffis behaviour. In recent past history of Libya not much
has been articulated on human right violation by the Gadaffis networking regime. Clear enough the domino
and neighbourhood effect of the uprising in North Africa is explicable for the behavioural change in Gadaffi.
Michie et al (2008) identifies environment, consequences, emotion and capabilities among others as
behavioural determinants for which Gadaffis action can better keep a meaning (Michie et al 2008).
Gaddafis actions turned out as departure from the pace set by the street uprisings against authoritarian
North African regimes. The transition from authoritarian to aspired democracy, though unexpectedly caught
the imagination of the advance democracies wanting no stone unturned in the region. Therefore, in the
perspective of the advance democracies, Gadaffis shocking response to the street actions is un-condonable,
thereby inspired the UNSCs resolution
2
to put a stop to unwarranted mass killing of Libyans.
The UN resolution and NATO intervention in Libya requires a deep psychological and sociological appraisal.
The extent to which the intervention can alter behavioural determinants and behavioural change was not
articulated.
Psychologically speaking, the efficacy of the intervention can actually be measured if it targets the
causal determinants and behavioural change in the context of Gadaffi. Therefore, failure to understand the
causal determinants delineates the deficiency in the planning of those who hastily launched the campaign
against Libya.

7. Humanitarian Premise

The resolution was punctuated with the language of humanitarian intervention as justification for the technical
violation of Libyas integrity and sovereignty. Michelle Maiese opined that humanitarian intervention is the
threat or use of military force primarily for the purpose of protecting the nationals of the target state from
gross and systematic human rights violations, (Maiese 2004) intervention deliberately and nonconsensual
invades states sovereignty agencies. The ultimate aim of intervention cannot be disconnected from the
intention to weigh in considerable pressure on the invaded state to change cause of action.
3

Humanitarian intervention is a muddy discourse in International Relations, a polarizing debate between
1
Arabnews.com, Arab League chief says respects UN resolution; Putin likens Libya force to Crusades, March 21, 2011
http://arabnews.com/middleeast/article324324.ece
2 Department of Public Information, News and Media Division, Security Council Approves No-Fly Zone over Libya, Authorizing All
Necessary: Measures to Protect Civilians, by Vote of 10 in Favour with 5 Abstentions, New York, March 17, 2011..
http://www.un.org/News/Press/docs/2011/sc10200.doc.htm
3
Paul Taylor, The United Nations and International Order, in The Globalization of World Politics, ed. John Baylis and Steve Smith, 340
(Karachi: Oxford University Press, 2001).

538
the realist and idealist, highly controversial because it raises the question of legitimacy.
4
The legality of
military intervention often brings a shadow of doubt on the United Nations, which has become the platform for
certain nations to clamour for global governance.
5
This view espouses the rationalist theory of international
relations that states sovereignty becomes immaterial when issues of global consequences surface. The
question raise by this standpoint is that the international system will remain anarchic and every state will
strive protecting itself and acting according to it will, without respecting international norms.
But more importantly, intervention requires a huge budget and coalesces with the operation of the
world system guided by few powers, paranoid of seeing their interest undermined in foreign nations, hence
necessitating intervention cloaked with different narratives and names. Such an argument amplifies the
concept of hegemonic stability,
6
a premise for powerful states to combine mercantilist and dependence
strategies for the maintenance of global order.
7

Foreign military intervention shatters the territorial integrity and integration of states. This is true for the
Indian intervention in the conflict of United Pakistan leading to the creation of Bangladesh.
8
Same is true for
the dismemberment of Yugoslavia.
9
Our understanding of international affairs remains fresh as to how
NATOs intervention on the premise of humanitarian and just war ultimately dismembered Yugoslavia into
seven sovereign states.
10

Regardless of the veracity of humanitarian intervention, the implicit yet obvious paradigm is the
continuation of hegemonic stability and infringement of a free states sovereignty.
In the heart of this discussion surfaces the strong role of foreign intervention as impetus and stimulus
for further creation of states on world map on one hand and on the other as energizer for secessionist
tendencies among rebel group.
The Libyan intervention shares certain commonalities with the Balkan intervention although dissimilar in
many degrees. The intervention policy of the interveners exacerbates the tempo of enmity instead of
reducing the moral hazard the intervention was expected to achieve.
11
It is true from all newspaper reports
that though before the intervention animosity between the rebel and Gadaffi was incubating, upon the
intervention the enmity further strengthened and unwarranted killing of innocents on both sides exacerbated.
Among the compelling arguments of scholars is that foreign military intervention is often expected to
bring about socio-economic and political changes, particularly from authoritarian to democratic system and a
total transformation of the invaded society.
12

Such theoretical approach does not necessarily portray the ground reality. The empirical military
intervention in Iraq and Afghanistan evidently challenges this approach. If the disciplines of social sciences
scout for patterns, therefore Iraq and Afghanistan are recent most empirical reality explicable to predict the
outcome of intervention of Libya.
The ironic face of international affairs is that belligerent actions have not been efficacious enough to
transform invaded society. The lesson from American intervention in Latin America, Indian involvement in
4
Charles W. Kegley Jr. and Eugene R. Wittkopf, World Politics: Trend and Transformation, 9
th
ed. Wadsworth, London: 2004), 258.
5
Paul Taylor, The United Nations and International Order, in The Globalization of World Politics, ed. John Baylis and Steve Smith, 341
(Karachi: Oxford University Press, 2001).
6
Tim Dunne and Brian C. Schmidt, Realism, in The Globalization of World Politics, ed. John Baylis and Steve Smith, 151 (Karachi:
Oxford University Press, 2001).
7
William Nester, International Relations: Politics and Economics in the 21
st
Century, Belmont: Wadsworth. 2001), 12.
8
Onkar Marwah India's Military Intervention in East Pakistan, 19711972, Modern Asian Studies, 13, (1979): 549-580
9
P. H. Liotta, Dismembering The State: The Death of Yugoslavia and Why It Matters, (Maryland: Lexington Books, 2001), 11.
10
Mona Fixdal

and Dan Smith, Humanitarian Intervention and Just War, Mershon International Studies Review, Volume 42, Issue 2,
(November, 1998): 283312.
11
Alan J. Kuperman, The Moral Hazard of Humanitarian Intervention: Lessons from the Balkans, International Studies Quarterly,
Volume 52, Issue 1, (March, 2008).
12
Jeffrey Pickering and Emizet F. Kisangani, Political, Economic, and Social Consequences of Foreign Military Intervention, Political
Research Quarterly, Vol. 59, No. 3 (Sep., 2006): 363-376

539
United Pakistan, NATO operation in former Yugoslavia, US-led invasion of Iraq and Afghanistan are all reality
checklists. It is not therefore implausible to surmise the end to the Libyan campaign, more importantly giving
the networking of the tribal political culture of the Libyan society.
13

Thus, a rethinking of strategy by the matured democracies is overdue that military intervention on the
premise of promoting democracy and harmonious international environment requires a reappraisal.
14
Actual
social and democratic change is bound to germinate only from within without forceful meddling by external
entity.
The extent to which military interventions have actually produced the objectives for which it was
launched is questionable. In the case of Libya, NATO shouldered the task of protecting Libyan civilians but
there have been reports challenging the legality of NATO operation. NATO forces have been accused of
killing civilians they claimed to have come to protect. The news was challenging as to the justification of
fighting Gaddafi for killing civilians.
15

This further probes into the discourse whether military intervention is efficacious enough to effect a
democratic dispensation. The action of the interveners has often resulted to either regime change or certain
degree of political transformation, but has always failed to produce, instead facilitating illiberal democratic
systems.
16
In the case of Libya, things could be much complicated owing to the tribal political culture on one
hand and on the other, the actual readiness of the rebel to move on with democratic dispensation.
17
The
question raise by this is whether the prerequisites for democracy are actually in place and how trustworthy is
the democratic pedigree of the rebel leaders, who now shake hand of western leaders and believes to be
hero if not later villain like Gadaffi.
The attack on Libya under the auspices of the UNSCs resolution was laden with both implicit and
explicit intentions. Craving for humanitarian intervention crept up as the unambiguous intent yet embedded
with hidden agenda by the invaders to phase out Gadaffi from political scene. Even if Gadaffi gets eliminated
from the larger picture of Libyan political landscape, it is hard to tell the extent to which the intervention can
bring about democratization process, another covert intention of the invaders. Gadaffis Libya is remotely far
from such transition; transformation from authoritarianism to democracy as facilitated by the U.S and EU in
Latin America
18
requires preexisting domestic effort and political institutions that can help drive the invaded
country to the shore of democracy instead of foreign military intervention by democracies.
19

8. Fallouts of the Invasion

Authoritarianism is a cancer in the developing world and must be treated within. Change has never been
effective if dictated or forced by external forces, though ideas for change can be imported. The Arab Spring
authenticates this argument as Tunisians set the page for the rejection of authoritarianism in the region. It
was a great structural shock for the governments of the region that their subjects can one day ask for their
exit or display enormous discontentment for undemocratic governance. Such developments further confirm
13
Amal Obeidi, Political culture in Libya, (Cornwall: Curzon Press, 2001), 131.
14
Charles W. Kegley Jr. Margaret G. Hermann, Military intervention and the democratic peace, International Interactions: Empirical and
Theoretical Research in International Relations, Volume 21, Issue 1, (1995): 1-21.
15
Valentina Pop, NATO frets over civilian casualties in Libya, Euobserver, April 1, 2011
http://euobserver.com/13/32106
16
Fareed Zakaria, The Future of Freedom: Illiberal Democracy at Home and Abroad, (New York: W.W. Norton & Company, 2007)
17
Ben Hubbard, Official: Libyan rebels seek democracy, Associated Press Sunday April 3, 2011
http://news.yahoo.com/s/ap/20110403/ap_on_bi_ge/af_libya_931
18
Richard Youngs, The European Union and Democracy in Latin America, Latin American Politics and Society, Vol. 44, no. 3 (Autumn,
2002)
19
Bruce Bueno de Mesquita, George W. Downs, Intervention and Democracy, International Organization, Vol. 60, No. 3, Summer,
(2006): 627.

540
and endorse the assertions of John I. Esposito and Dalia Mogahed that Muslims do not share dissimilar
democratic views as the rest of the world.
20

The new World Order of information technology has not isolated the Muslim world, rather it has spotlighted
and integrated them with the rest of the world in the new apolitical, non economic public sphere characterized
as social networking. Due to the independence of this new World Order, both the anti-government and pro-
government street protests take advantage of this medium as platform for the galvanization of support.
The social networking was a representation of the circulation of ideas at the peoples level, while the
humanitarian intervention in the case of Libya stands for the arrival of the messiah. But the problem with the
latter is that ovation do not always last long for messiah. Iraq and Afghanistan attacks indicated that the
invaders were welcomed and given fairly good reception at the inception but time became the determinant
factor revoking this ovation. The image of the other played a great deal to demystify the messiah. In case of
Libya, such image is bound to be enlarged giving the tribal configuration of the society. In fact the
exasperation of the Libyan uprising reminds one of the Khaldunian theory of Asabiyah, a solidarity which is
responsible for the rise and fall of a government, regime, empire, dynasties and civilizations.
21
The
dislocation of the social capital or solidarity (Asabiyah) became more salient upon the incursion of foreign
forces and time will be the best judge to adjudicate if Libyan society will further splinter into a civil war in after
outfacing Gadaffi.
The aftermath of 9/11 and the war on terrorism were regarded as affront to Islam and the Muslim world.
September the 11 was the launching pad for the attack of Iraq and Afghanistan, which invariably heightens
global anti-Americanism in general and particularly in the Muslim societies.
22
9/11 attack was on the
heartland of American political, economic and military establishment and therefore the least was less
expected as retaliation from world acclaimed super power. The democratic change that brought President
Obama to the White House reviewed American foreign policy with the rest of the world and a careful attention
to the Muslim world
23
in bid to emasculate the potency of anti-Americanism.
The accomplishment of such task was practically impossible at the shortest time, even though Obamas
ambition was cynically received as nothing new from previous promises. The American government like
every other power was caught by surprise when the Arab street protest emerged without a written signal on
the wall. Hence, reaction was cautious and Washington carefully avoided a new wave of anti-Americanism. It
has had enough in the Muslim world and getting bogged down in Libya could aggravate the yet to fully
recovery American economy.
The Russian and Chinese UNSC envoys strategically played the alibi game during the UNSC
deliberation whether or not to intervene in Libya. The abstention of the two can be read with different goggle.
They are veto members and having the prerogative to veto the decision, but due to their own interest, being
absent can always be the easy passage without drawing serious criticism. According to the International
Energy Agency, Libya produces 1.6 million barrels per day of crude, 2% of the world's output.
24
This
contribution matters to global economy, meanwhile being in crisis, that output is dwindling. According to the
report compiled by Reuters
Europe is the customer most affected by Libyan oil export disruptions. About 32 percent of the oil goes
20
John I. Esposito and Dalia Mogahed, Who Speaks for Islam, What a Billion Muslims Really Think, (Gallup Press, 2008)
21
Ibn Khaldun, The Muqaddimah: An Introduction to History, translated by Franz Rosenthal, (Princeton: Princeton University Press,
1967), xi.
22
Yannis A. Stivachtis, Understanding Anti-Americanism, Research Institute for European and American Studies (RIEAS) Research
Paper, No. 109, MAY 2007
23
The White House, Office of the Press Secretary. Remarks by The President, On a New Beginning: Cairo University, Cairo, Egypt,
June 4, 2009.
http://www.whitehouse.gov/the-press-office/remarks-president-cairo-university-6-04-09
24
BBC News, Oil prices hit fresh highs on Libya unrest fears, February 24, 2011.
http://www.bbc.co.uk/news/business-12563063

541
to Italy, 14 percent to Germany, 10 percent to China and France and 5 percent to the United States. Libyan
oil accounts for about 23 percent of Ireland's oil and about 22 percent of Italy's, according to the IEA. Around
13 percent goes east of the Suez Canal to Asia.
25

Owing to the large scale political unrest in the Arab world and members of OPEC, it is evident that
certain global power will take situational advantage of the moment. Russia as the worlds number one
exporter of natural gas and with the worlds largest reserves arguably welcomes the consternation in the Arab
world as that will further accord Kremlin the energy leverage it has always wanted. This sway, Europeans
have nurtured with fear. In one analytical piece of Stratfor, the Kremlin is the one power that has the luxury to
take stock of Arab Spring in relative comfort.
26
Therefore the attack on Libya does not necessarily affects
Russia instead raises its economic and financial status and to muscle up while there is fire on the mountains
of Arab OPEC countries.
Unlike Russia, China is not an energy giant rather a gigantic energy consumer. The Chinese economy
needed no introduction as one of the fast growing economies, which now hold the status of the second
largest economy outpacing Japan, but tailing behind the U.S economy.
27
This member of BRICS has
extended its economic tentacle the world over; it has left no continent un-shocked. Irrespective of the claim
of the Chinese National Petroleum Corporation that "Crude oil sourced from Libya only accounted for about
3% of China's total imports so the impact on crude supply is very limited," the fact still remain that Chinas 50
large scale projects in Libya that involving US$18.8 billion cannot be underestimated.
28

War is increasingly becoming an unpredictable phenomenon, thus, China is availing no chances to be
left out from being part of end determinant factors. Increasingly, the rebels have made headway and now
recognised as legitimate authority, prior to that they have indeed commanded the attention of all stakeholders
in Libyan endowed natural resources. The European Union has been working with the rebels on the platform
of building democratic institutions,
29
hoping that with democratic institutions, viable economic relations can be
achieved. In similar vein, Chinese diplomat got hand shake with the leader of the rebel National Transitional
Council,
30
an indication that upon an eventual Gaddafi's departure, Chinas position will still be relevant.
Before the intervention, Libya-Italy relation had no stain; Prime Minister Silvio Berlusconi and Gadaffi
maintain good rapport, while economic and financial intercourse between them is represented by huge Italian
investment in Libya. In addition, Gadaffi has always tour Europe, but having Italy as a core country, to the
extent of addressing Italian parliament. Italys proximity with North Africa pinches Rome the most as
compared to the rest of Europe.
Italy's concerns in Libya are far more immediate. As the closest European nation to Libya, as well as to
Tunisia and Egypt, Italy's economic well-being depends heavily on having a good relationship with North
Africa. Italy consumes 32 percent of Libya's oil output and it handles much of the trade between North Africa
and the rest of Europe. The Arab uprisings have severely disrupted both the flow of oil and of maritime trade.
Italy's economic interest would have probably been best served by there being no intervention at all.
31

Beside the economic gap created by the Libyan crisis, Italy had to struggle with the influx of immigrants
25
Reuters, Factbox-Libyan Oil Production, Outage, Exports, Customers, March 2, 2011.
http://af.reuters.com/article/energyOilNews/idAFLDE72018W20110302
26
Stratfor, Russia Rises Amid Geopolitical Events, Austin, March 15, 2011.
27
Tomoko A. Hosaka, China surpasses Japan as world's No. 2 Economy, The Washington Post, August 16, 2010.
http://www.washingtonpost.com/wp-dyn/content/article/2010/08/15/AR2010081503697.html
28
Chemconsulting, Will Libya's Unrest Affect Chinese Oil Companies' Businesses?,
http://www.chemconsulting.com.cn/info_detail01.asp?id=8047&oid=53
29
Andrew Rettman, EU to open office in Libyan rebel stronghold, Euobserver, May 11, 2011 http://euobserver.com/9/32310
30
Peter Graff, China meets Libya rebels in latest blow to Gaddafi, Reuters, June 3, 2011.
http://www.reuters.com/article/2011/06/03/us-libya-idUSTRE7270JP20110603
31
Max Fisher, Ghosts of Iraq: Why the War Against Libya Remains Leaderless, The Atlantic, March 23 2011.
http://www.theatlantic.com/international/archive/2011/03/ghosts-of-iraq-why-the-war-against-libya-remains-leaderless/72916/

542
pushed out by the uprising.
32
The immigration issue almost caused diplomatic brawl among EU members, as
few of the Schengen members opted to enforce national prerogative on their borders in an attempt to stamp
down unwanted immigrants.
33

The memory of the past is psychologically un-detachable, as the shadow of man cannot be avoided.
The reminiscence of segment of North Africa being part of larger French Empire remains a mesmerizing
thought. The French cannot get over it, though upon assuming the Elyse Palace, President Sarkozy
suggested a new dawn of relations between Paris and its former colonies. According to him, Paris should
ditch the colonial partnership and should rather relate on the platform of partnership between equal
nations
34
Such propensity could help understand the rationale behind the creation of the 43-nation
Mediterranean Union established in July 2008 in Paris by France and Egypt in a bid to foster cooperation,
promoting stability and prosperity throughout the Mediterranean region.
35

Paris could not absolve the humiliation following the Tunisian uprising and the ultimate ousting of Zine
el-Abidine Ben Ali.
36
Hence, the domino effect created by the Tunisian crisis was carefully monitored by Paris
and thus the hasty intervention impulse of President Sarkozy to craft a diplomatic stunt as champion of the
Mediterranean.
The Libyan crisis equally turned out to be a political exploit moment for President Sarkozy, whose
political circle was fallen apart as France prepares for next presidential elections. Sarkozys political rating
remains at record low and facing critical contest within his own UMP party and from arch rivals like the Far-
right party and the Socialist. Tapping into the sensibility of the French, the French president has to perform a
magic, potential enough to make UMP retain the Elyse Palace.
The North African political uprisings and particularly the Libyan outrageous scenario became the
magical momentous moment for Sarkozy to upgrade his rating and showcase the diplomatic weight of Paris
in global affairs. The situation could be likened with the American system, where domestic politics is not
always at the grip of the White House and when the tough gets going, American presidents always exploit
events of foreign affairs to rebound their positions,
37
same could be deduced from the action of President
Sarkozy.
The Arab uprisings have no direct effect on the British government but tacitly having to do with British
economic and financial interest in the region. Although, London like few within its caucus could claim that the
international community will spare no time to accommodate further atrocities of Gadaffi and therefore military
intervention on premise of humanitarianism is justified.
The release of Abdel Basit al-Meghrahi, the man convicted of the 1988 Lockerbie bombing in which
270 people died
38
was still fresh and was an unsettled business for the British Conservatives as well as many
who held the release as swap politics for Libyan oil, though the then ruling Labour Party rejected that
32
Leigh Phillips, Italy and Malta want special summits on Africa crisis, Euobserver, February 14, 2011
http://euobserver.com/9/31803
33
Warsaw Business Journal, EU official says no to North African migrants,
February 25 2011
http://www.wbj.pl/article-53409-eu-official-says-no-to-north-african-migrants.html?typ=ise
34
Henri Astier, Sarkozy's Africa policy shift, BBC News, September 26 2007.
http://news.bbc.co.uk/2/hi/africa/7014776.stm
35
AFP, Mediterranean summit delayed to allow Mideast dialogue, May 21, 2010.
http://www.thedailynewsegypt.com/egypt/mediterranean-summit-delayed-to-allow-mideast-dialogue.html
36
Toby Vogel, Tunisia's president ousted, EuropeanVoice, January 14, 2011.
http://www.europeanvoice.com/article/2011/january/tunisia-s-president-ousted/69942.aspx
37
George Friedman, U.S. Midterm Elections, Obama and Iran, Stratfor, Austin, October 26, 2010
38
Ian Cobain, Amelia Hill, Kartik Mehta, Saif al-Islam Gaddafi: LSE-educated man the west can no longer deal with, Guardian,
February 21, 2011
http://www.guardian.co.uk/world/2011/feb/21/saif-al-islam-gaddafi

543
insinuation.
39

Maneuverability theory is an elucidating window for the understanding of how interest groups
manipulate their ways to making their objectives achieved. This is a clear indication that an individual or
group can mobilizes appropriate resources to sway others actions.
40
The leverage of multinational companies
like the British Petroleum (BP) in global financial happenings and particularly in the energy sector remains
uncontestable. Being within the bracket of the third world, endowed with large reserve of crude oil but lacking
the technology know-how to explore and exploit it endowment puts Libya at the mercy of the developed
multinational oil companies. It requires less logic to surmise that BP would be interested in Libyas oil sector,
a sector that has long been dominated by other European companies. The renewal of relations and visit of
ex-PM Tony Blair to Libya cleared the path for BP to make footing in Libya.
41
Despite the tight relation,
Washington was cynical of Blairs visit as depicted in one of the US embassy cables.
42

Britains participation in the swift UNSC resolution is more or less pay back time, as the Conservative-
led government still had an axe to grind with Gadaffi

9. Irrational Rational Choice

The power tussle state system makes every state believes it choice of decision and actions are rational.
Humanitarian intervention in Libya comes under the purview of rational choice. This debate remains an
unfinished discourse in international relations domain, dragging between the idea of morality and sense of
responsibility. If the choice of decisions and actions of states are rational, therefore the existence of negative
externalities from states decisions demand critical recheck.
Arms conflict is assumed to be the extension of diplomacy and politics
43
and the cogent objective of
war is always to incapacitate the other party. In the case of Libya like every other war in the modern times,
the belligerent action cloaked humanitarian as yet to signal an eventual end. The Libyan campaign was a
hasty and inept decision, lacking strategic plan. The disagreement among NATO members whether or not to
shoulder the responsibility delineated such lack
44
and in fact depicted the myopic understanding of the
French general opinion that the Libyan operation should be done in weeks.
45

If being democratic will bring the world to the shore of harmonious co-existence as Kant suggests in his
idea of democratic peace. Democratic state will neither fight nor threaten other democracies as an integral
rational disposition of democracy.
46
But where rest the rationality and justification for democracies to be
instrumental in the regression of development in a country like Libya. The new nature of warfare makes us
more beastly and irrational than animals. We act then think instead of otherwise, yet we claim civility. The
amount galvanized and expended on belligerent actions could be best channeled to many productive areas.
39
MSNBC, Britain denies oil link to bombers release, August 22, 2009
http://www.msnbc.msn.com/id/32513985/ns/world_news-terrorism/t/britain-denies-oil-link-bombers-release/
40
William Nester, International Relations: Politics and Economics in the 21
st
Century, Belmont: Wadsworth. 2001), 81.
41
Jason Drew, BP Expanding Oil Interest in Libya, Electric.co.uk, August 19th, 2009
http://www.electric.co.uk/news/bp-expanding-oil-interest-in-libya-12341083.html and Nabila Ramdani, Tim Shipman and Tom Leonard,
Please help us, my good friend Tony Blair: Gaddafi's son asks for former PM's help to 'crush enemies', Dailymail, February 25, 2011
http://www.dailymail.co.uk/news/article-1360472/Libya-Gaddafis-son-asks-Tony-Blairs-help-crush-enemies.html
42
Guardian, US embassy cables: US suspicion surrounds Tony Blair's visit to Libya, December 7 2010
http://www.guardian.co.uk/world/us-embassy-cables-documents/221905
43
Richard Ned Lebow, The Tragic Vision of Politics: Ethics, Interests and Orders, (Cambridge: Cambridge University Press, 2003), 37.
44
Patrick Goodenough, United Nations, NATO Divided Over Libya No-Fly Zone Proposal, CNSNews.com, March 10, 2011
http://www.cnsnews.com/news/article/united-nations-nato-divided-over-libya-n
45
Radio France International, Operation in Libya over within weeks, says French military, March 25, 2011
http://www.english.rfi.fr/africa/20110325-no-fly-operation-libya-over-within-weeks-says-french-military
46
Michael Edward Brown, Sean M. Lynn-Jones and Steven E. Miller, Debating the Democratic Peace, (Massachusetts: MIT Press,
1996), 160.

544
This is not the juncture or argument for pacifism rather a critique of how rational choice has caused more
damage than bringing bliss.
Where rest the rational choice for destruction then followed by reconstruction. The damage of Iraq
and Afghanistan wars aggregately outmatched the period before the war. The blood spilled by Gadaffi before
the humanitarian intervention is relatively lesser and thus explains the ire of Libyans against President
Sarkozy.
47
One, NATO superior war machineries have the potential to cause more destruction than the
moribund apparatus of Gadaffi. Two, NATO infringement of Libyans sovereignty further aggravated
Gaddafis absurd temperament to apparently cause more ruin on lives and properties. Three, the combine
actions of NATO, pro-Gadaffi and anti-Gadaffi actions constitute the irrational rational choice.
Thomas Jefferson is believed to have said war is as much a punishment for the punisher as it is to the
suffer, doubting such classic and sagacious thought will be standing aloof from the truth.
It is not a debatable matter that Gadaffi should have been allowed to continue striking fear in the heart
of innocent Libyans. It is legitimate that Gadaffi should be made to fathom the need to conform to
international norms as in the protection of human rights. But the question, how much time was accorded to
diplomacy to make him see sense. Little or no time was spare, instead the power that be had their ulterior
motive for swift action against the long seated leader of Libya. If Gadaffi is complicit and should be held
accountable for such criminal actions, then nothing should have stopped the same powers to intervene when
Israel assaulted Gaza in 2008
48
and to the extent to using White phosphorus on Gaza civillians.
49

The Libyan campaign further justifies the realist school of power politics that characterizes the world
order. The attack on Libya was selective as far as rational choice is concerned and a message of time out
continues to be relayed to Gadaffi. The latter should also make a choice whether to adhere to international
norms or endangers Libyas sovereignty due to his own irrational rational decision. However, it worth
mentioning that neither Gadaffi, anti-Gadaffi nor the NATOs action goes well with Pope Benedicts assertion
that violence never comes from God, never helps bring anything good, but is a destructive means and not
the path to escape difficulties,
50

Meanwhile, if selective justice is not detracted from international affairs, otherwise authoritarian states
and leaders would not discontinue their illogical temperament. The attack could be a stimulus for the likes of
Gadaffi to revisit nuclear ambition, hoping to protect their power and deter belligerent force from infringing
their sovereignty.

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547

Performance of Intra-EU reforms in Central Africa: Empirical Verification

Ibrahim Ngouhouo

University of Dschang.
Email: ngouhouo@yahoo.fr

Alice Kos A Mougnol

University of Dschang

Doi: 10.5901/mjss.2012.03.01.547

Abstract This study investigates the impact of preferential reforms of the mid-1990 implemented in CEMAC zone on the
determinants of intra-regional trade. Using a gravity equation, the study shows the influence of each variable under studies
during the two sub-periods (before and after the reforms that is 1984 -1993 and 1994 2003) on the intra-regional trade. Using a
gravity equation, the study shows the influence of each variable under studies during the two sub-periods on the intra-regional
trade. The results show that the populations (both home and away), cultural linkages and the proximities were directly related to
intra-regional trade after the reforms than before. At the same time, the transactions and transport costs were negatively related
to the intra-regional trade, mostly after the implementation of reforms.

Keywords: reforms, intra-regional trade, Central Africa

1. Introduction

The integration of African countries in the world market passes through regional integration and closer
cooperation. This belief was strengthened during the 90s with the acceleration of the globalization process
and the risk of increasing marginalization of African countries. The integration and economic openness are
regularly recommended by many authors and international experts as a strategy to stimulate sustainable
economic growth and sustained development of sub-Saharan Africa.
However, in practice, the integration efforts in Africa have had limited success, particularly in terms of
increased intra-regional trade and, more importantly, in terms of improving economic growth of the
signatories of regional agreements (Guillaumont and Guillaumont, 1993). According to Foroutan and Pritchett
(1993) the failure of integration in Africa south of the Sahara in terms of regional trade can be essentially
explained by the inability and / or lack of willingness on the part of member countries to undertake
preferential reforms. These reforms would be a prerequisite for the creation of additional common exchanges
in the areas of integration.
In the early 90s, in response to the severe economic crisis of the mid-80s, all the countries of the
CEMAC region was under structural adjustment program (SAP). But, various applications of SAP have led to
mixed results. The shock wave will come in January 1994; however, with the 50% devaluation of the CFA
franc; the objective of the monetary adjustment is to promote a return to economic competitiveness
compared to competitors who had made multiple competitive devaluations. She also had the main advantage
of making compelling and especially to accelerate the economic reforms that had been loosely applied or
simply delayed in the past.
The CEMAC countries have adopted new ambitions community by implementing a comprehensive
economic reform program based mainly on unilateral liberalization of key sectors. In the commercial sector in
particular, the reform consisted of a gradual easing of protectionist tendencies that had prevailed since the
decade 60s. These reforms, changing the incentive structure, aimed primarily at reducing the role of

548
government in economic activities and promote private sector development from the public sector. The
reform was preferred for its removal of tariff and non tariff barriers to intra-regional trade, a common external
tariff and the recovery of intra regional process (free movement of goods and people, infrastructure
construction projects, regional transport).
Since the beginning of the implementation of all these reforms, very little work to our knowledge have
attempted to assess their impact (preferential economic reforms of the mid-90) on the determinants of intra-
Community trade. Yet the need to assess the impact of these reforms is of great importance both for the
authorities of the CEMAC as international institutions and accompanying initiators of these reforms in order to
assess their effectiveness and efficiency on factors that may increase or even reduce them. In addition,
studies so far have been limited only to measure their impact in terms of creation and trade diversion (Mata,
2005).
Our work is primarily intended to fill this gap. Nous nous proposons d'valuer l'impact de ces rformes
prfrentielles du milieu des annes 1990 sur les dterminants des changes commerciaux entre les pays
membres de la sous rgion CEMAC. We propose to evaluate the impact of these reforms on the
determinants of trade between the member countries of the CEMAC sub-region.

2. Theoretical Foundations of the Gravity Model and Review of the Empirical Literature

2.1 Theoretical Foundations of the Gravity Model

There are several techniques and methods for assessing regional trade including the monitoring of
macroeconomic indicators such as growth and inflation, trade flows and the revealed comparative
advantages (Yeats, 1997; Frankel, 1997). Of these, the gravity model is a simple and often giving good result
to assess the volume of bilateral trade (and Gbetnkom Avom, 2005).
The gravity model is a generic family of quantitative models developed by astronomer Stewart in 1940.
It was a great success in the empirical studies during the 60s (Evenett and Keller, 2002). However, despite
this success, the gravity model has suffered for several years, because of lack of theoretical foundations.
Multiple forms of equations of the model that succeeded in the empirical literature can be explained by the
absence of a consensus theory (Tinbergen, 1962; Pyhnen, 1963, Linneman, 1996, Aitken, 1973; Sapir,
1981). Thanks to a recent wave of theoretical work, the gravity model has gone from an embarrassment of
poverty of theoretical foundations to an embarrassment of riches origins theory (Frankel, 1998). Despite the
fact that discussions continue, it is now recognized that the theoretical foundations of the gravity model are
supported by microeconomic considerations (Tinbergen, 1962 Linneman, 1966; Anderson, 1979, 1990), by
theories of international trade ( Pyhnen 1963, Bergstrand 1985; Krugman, 1979; Deadorff, 1995) and
finally by the new economic geography (Stewart, 1940; Krugman, 1999).
Bergstrand (1985), for example, derived the equations for gravitational differentiated products based on
implicit structural models Ricardian, Heckscher-Ohlin and increasing returns to scale. The approach taken in
the context of this paper is based somehow on this theoretical justification, as the preferential assessment we
propose to measure (empirically) the impact on the determinants are expected to improve the exploitation of
comparative advantages driven by differences in factor proportions and productivity of production factors
(returns to scale model).

2.2 Review of the Empirical Literature

If the applications of the gravity model are numerous in Europe and Latin America (Balassa, 1988,
Eichengreen and Bayoumi, 1995), they are nevertheless quite rare in African countries. The first application
we are aware of the gravity model to African countries south of the Sahara (SSA) is the work of Foroutan and
Pritchett (1993). The goal of these authors was to quantify the potential intra-SSA trade and to compare the

549
level of trade observed. They come to the conclusion that the level of intra-SSA trade is low for structural
reasons.
Others, like Naudet (1993), rather think that the low level of trade stems from the fact that the countries
of the region do not fully exploit their commercial potential. For the latter, trade in West Africa to take just this
example could represent 25% of total trade by 2020.
Elbadawi (1997), using a conventional gravity model enhanced to identify the determinants of intra-
African trade, shows that the experience of regional integration in SSA has been a failure like that of other
developing regions (including the Latin America).
In a study conducted in the framework of SADC, Cureau (2000) used a gravity model to show that for
inter-SADC trade over the period 1980-1992 and 1990-1992, sharing a border municipality has a positive
effect on bilateral trade. Similarly, bilateral trade increased significantly with market size (GDP), the
agreements have no significant effect except for SACU while the distance used as a proxy for transaction
costs negatively affects bilateral trade.
N'garesseum (2003) and Gbetnkom and Avom (2005) examined the specific impact of the WAEMU
intra-Community trade after the economic reforms of the years 90. The results of these studies (apart from
the difference in the sample) indicate that regional integration substantially increase trade between the
members states of the union after the economic reforms.
Considering the period 1962-1996 and as part of a gravity model, Carrere (2004) uses the Hausman-
Taylor to show that regional trade agreements in Africa have generated a significant increase of trade among
member countries.
Noumba (2005) studied the impact of regional economic integration and monetary arrangements in the
Franc Zone of Cameroon's total exports from a gravity model. Il est arriv aux rsultats que les arrangements
montaires conclus dans le cadre de la zone Franc ont exerc un effet positif et significatif sur les
exportations globales du Cameroun ; l'intgration rgionale dans le cadre de l'UDEAC/CEMAC a eu un
impact positif et significatif sur les exportations du Cameroun en direction des pays de la sous rgion
CEMAC sur la priode d'tude considre. He came to the results that the monetary arrangements
concluded in the Franc Zone have had a positive and significant effect on overall exports of Cameroon;
again, regional integration as had a positive significant impact on exports of Cameroon towards the countries
of the CEMAC sub-region over the study period considered. In addition, the distance is a barrier to exports,
because the longer the more transaction costs and risks of damage to products will be great.
Agbodji (2007) studied the determinants of bilateral trade within the WAEMU from a gravity model. The
results of this study indicate that the implementation of economic reforms aimed at regional integration and
membership in a common currency area significantly increased intra-Community countries in the area of the
study period considered. In addition, sharing a common border and a significant level of infrastructure act
positively on intra-regional trade.
Mata (2008) analyzed the effect of creating UDEAC / CEMAC on imports excluding UDEAC / CEMAC,
Congo, Gabon and Cameroon (which he extended to all countries of the CEMAC). The results of this study
showed that the creation of the UDEAC / CEMAC did not significantly reduce the trade of the six countries in
the region with the rest of the world.
The originality of this work compared to other studies is that it evaluates the impact of preferential
economic reforms implemented in the 1990s within the CEMAC on variables that may affect trade between
member countries of the CEMAC.

3. Econometric Model

We rely in this study on the gravity model because it has a number of advantages:
- The high sensitivity to economic conditions, which can add dummies variables to highlight the specific
exchanges between the partner countries such as the existence of common borders, cultural affinity, trade

550
policies and exchange the belonging to the same group ... because it is often difficult to understand these
features by explicit variables that can measure their impact;
- Flexibility in the sense that one can add or remove variables in the model;
- A coherent theoretical framework for the analysis of trade flows between different countries or regions,
taking into account the variables of traditional models of international trade (comparative advantage, static
and dynamic).

3. 1 Spcification du Modle Model Specification

Given their diversity, the gravity models in their basic form explain the bilateral trade volume between two
countries i and j, measured here by exports (Xij), as according to their respective incomes (Y (j)), of their
respective populations (Pi (j)) and geographic distance (Dij) between the two capitals or economic policies.
Thus, we have: (1)
Where:
Yit and Yjt denote the GNP of the exporting country i and importing country j at time t;
Pit and Pjt mean populations of the exporting country i and importing country j at time t respectively;
Dij is the distance between the capitals (economic or political) of the two countries swingers.
In its simplest form, all the exponents of equation (1) are equal to 1 and after linearization; we obtain the base
model in its logarithmic form as:
Ln Xijt = 1Ln Yit +2Ln Yjt
LnXijt = 1Ln Yit + 2Ln YJT +3LnPit + 4LnPjt + 5LnDij +ij
Where:
ij the error term distributed according to a log-normal distribution with E (Inij).
Thus, the gravity model retained as part of our work is an enriched form from that of Linneman (1966) and
Bergstrand (1985) presented as follows:
Ln Xeit = 1LnPNBet +2LnPNBit
LnXeit = 1LnPNBet + 2LnPNBit +3LnPOPet + 4LnPOPit + 5LnDISTei +eit
Where:
GNPet means the GNP of the country of origin or exporting country;
GNPit means the GNP of the importing country;
POPet is the population of the exporting country;
POPit is the population of the importing country;
DISTei refers to the distance between the capitals of both countries;
ei the error term distributed according to a log-normal distribution with E (Inij)
In the empirical literature, the previous model is rarely found in this form. Indeed according to the objectives
that bind to the authors, several variables including dummy are usually introduced to capture the specific
effects of bilateral trade. For example, Frankel (1997) and Matyas (1997) have introduced regional variables
(historical, cultural, ethnic and political) to assess their effects on bilateral trade. Longo and Sekkat (2001)
have added to the basic equation dummy variables to take into account the effects of economic policies,
foreign direct investment and political tensions in the exporting and importing countries. Linneman (1966),
Aitken (1973), Elbadawi (1997), Yeats (1998), Longo and Sekkat (2001), Ngaresseum (2003) and others
added to reflect the effect of membership countries an economic bloc or customs union, etc..

3.2 Analysis of Variables

In this perspective, to highlight the determinants of Community trade in CEMAC sub-region in the period
before and after the economic preferential reforms of mid-90s, we estimate a gravity equation model
increased by geographical and cultural affinities. Il s'agit des variables frontire Fei et celle destine

551
capter l'effet des affinits culturelles sur les flux commerciaux (Lei). These variables are "border" (Fei) and
that designed to capture the effect of cultural affinity on trade flows (Lei). From the foregoing, we have the
following specification:
- The variable "distance" is a proxy, which allows evaluating or approximating the costs of transport and / or
transactions generated by trade between the two partner countries. As part of our work, this is the straight
line distance expressed in km and in a gravity model, this variable (DISTei) acts as a resistance factor and
negatively affects the volume of bilateral trade. So, the assumption at this level is that, the more the
transaction costs (transport, risk of damage, longer delivery times ...), the higher trade tends to decrease.
- The variable "border" (Fei) is introduced to account for the effects of geographic proximity on bilateral
trade.. Fei variable takes the value 1 when both countries share a border trader and 0 otherwise. The
expected sign for this variable is positive. Therefore, sharing a common border is expected to increase trade
within a group.
- The variable "language" (Lei) allows taking into account the cultural specificities of the countries swingers. It
takes the value 1 when countries share a swingers same official language and 0 otherwise. It is supposed to
have a positive impact on trade.
- The variable "gross national product" (GNP) is used to take into account the size of the economies
considered. A high level of income of the exporting country indicates a high level of production, increasing the
availability of goods for export. So, it positively affects the volume of bilateral trade. The coefficient of the
income of the importing country is assumed to be positive since a high level of income in the importing
country suggests an increase in import demand.
- The variable "population" is to define the effect of absorption, namely economies of scale, can also be
interpreted as an important source of business opportunity between partner countries (markets for goods for
sale). Thus, the assumption here is that a large population is a guarantee of market opportunities for products
and it also provides an abundant labor without which, nothing can be produced. The coefficient of the
population of the exporting countries (PoPe) can have a positive or negative sign depending on whether
either the country exports less when it is big (absorption effect) or more when it is a small country (economies
of scale). The coefficient of the population of the importing country (POPi) also has an ambiguous sign for
similar reasons. It may also reflect certain self-sufficiency in factor endowments (labor, physical capital and
human capital).
Taking into account all these variables, the model estimate is presented as follows:
Ln Xeit = 1lnPNBet + 2LnPNBit + 3LnPOPet + 4LnPOPit + 5LnDISTei + 6Lei + 7Fei +ei (2)

3.3 Data Sources and Estimation Techniques

3.3.1 Sources of Data Used

The sample consists essentially of six CEMAC countries. The analysis period between 1984 and 2003 is
divided into two periods of ten years each, in 1984 -1993 and 1994 -2003 located before and after the
preferential reforms. The first period can observe the evolution of each driver before the reforms of the
1990s. The second evaluates (indirectly) the additional impact of the reforms adopted from the second half of
the 1990s on these determinants of intra-Community trade.
Given the literature review that informed the construction of a research question, the data used in this work
are of secondary data:
- Annual exports (million USD) are obtained from several sources including: "International Trade
Statistics Yearbook" of the United Nations (various issues) of the National Directorate of Statistics,
the National BEAC Yaounde and "African Development Indicators," World Bank (various issues).
- Gross national product (GNP) and the total population are from the "African Development
Indicators 2007" of the World Bank. As trade flows, the data for these two variables are measured

552
respectively in millions of current USD and million respectively.
- Distances in kilometers in a straight line separating the economic capitals (or political) of countries
swingers are obtained from General atlas Larousse 2005.

3.3.2 Techniques for Data Analysis

The collected data were analyzed using the software Eviews, and they consist of an unbalanced panel data
from six partner countries with 235 observations.
The estimation of the gravity model specified above is made from the technique of generalized least squares
in panel data. Using the methodology of panel data is that it has several advantages over other methods
(cross-sectional analysis for example), including:
- it brings out the importance of relationships between variables over time;
- Its ability to manage non-observable individual effects between two trading partners, because when
these individual effects are omitted, the OLS estimation is biased if these effects are correlated with
regressors.
i. Test of stationarity
The stationarity tests can detect the presence of unit root in a series. Thus, two unit root tests have been
used as part of our work: the Augmented Dickey-Fuller (ADF) and Phillips-Perron (PP) tests.
The results of these tests show that in both cases, the variables are globally and individually stationary (see
the following tables for the two sub-periods).

Table 1. Stationary test for the period 1984 - 1993

Panel unit root test : Summary
Sample : 1984-1993
Exogenous variables : Individual effects
User specified lags at : 1
Newey West bandwidth selection using Bartlett kernel
Method Statistic Prob** Cross sections Obs Obs
Null: Unit root (assumes common unit root process)
Levin, Lin Chu t* -15.1997 0.0000 23 23 168 168
Breitung t- stat 1.94759 0.0257 23 23 145 145
Im, Pesaran and Shin w-stat -4.30859 0.0000 23 23 168 168
ADF-Fisher Chi-square 88.1096 0.0002 23 23 168 168
PP Fisher Chi-square 142.087 0.0000 25 25 211 211
Hadri Z-stat 1.75544 0.0396 25 25 242 242
**Probabilities for Fisher tests are computed using an asymptotic Chi Square distribution. All other test assumes
asymptotic normality.


553
Table 2. Stationary test for the period 1994 - 2003

Panel unit root test : Summary
Sample : 1994-2003
Exogenous variables : Individual effects
Automatic selection of maximum lags
Automatic selection of lags based on SIC: 0 to 1
Newey West bandwidth selection using Bartlett kernel
Method Statistic Prob** Cross sections Obs Obs
Levin, Lin Chu t* -3.73507 0.0001 23 23 168 168
Breitung t- stat -1.04183 0.1487 23 23 145 145
Im, Pesaran and Shin w-stat -1.52801 0.0633 23 23 168 168
ADF-Fisher Chi-square 20.5246 0.0578 23 23 168 168
PP Fisher Chi-square 29.2709 0.0036 23 23 211 211
Hadri Z-stat 3.63876 0.0001 25 25 242 242

**Probabilities for Fisher tests are computed using an asymptotic Chi
- Square distribution. All other test assumes asymptotic normality.
ii. Estimate
The results of the empirical estimation will allow us to determine the impact of preferential economic reforms
on the determinants of intra-trade; in other words, depending on the robustness of estimated results, their
significance will be evaluated by comparing the impact of the coefficients of the two sub-periods as well as
their degree of significance.

Table 3. Results of the estimation

1984 - 1993 1994 - 2003 Independent variables
Coefficients t - statistics coefficients t - statistics
FEI - 3828523 - (2.279198)* 4.47
E
+09 (19.08026)*
LEI LEI 0.816105 0 (3.808006)* 14.87262 (0.926258)
DISTEI - 0.010241 - (5.901988)* -4.34255 -(9.630218)*
PNBE GAWR 1.94
E
-13 (0.494393) -0.074101 - -(2.610705) **
PNBI PNBI 1.56
E
-13 (0.420422) -0.359831 -(6.689834)*
POPE POPE 2.02
E
-06 2 (15.44943)* 0.145771 (1.740001)***
POPI POPI - 6.00
E
-08 -(0.496809) 179.4829 (3.196564)*
Number of observations - - 235 235 - - 235 235
R2 R2 0.659326 - - 0.901757 - -
adjusted R2 0.650361 - - 0.889212 0 - -
F-Statistic 73.54348 73 - - 71.330457 - -
NB: Figures in parentheses are the t-statistics. *, ** And *** indicate that coefficients are respectively significant at 1%,
5% and 10%.

554
The estimation results of the two periods show that for the second period, apart from Lei (sharing a common
border), other statistical tests (Student's t) are significant at conventional levels of 1%, 5% and 10% , while in
the first period, three variables were not significant.
The adjusted coefficient of determination for the first period shows that the independent variables
explain more than 60% changes in bilateral exports of the six countries. That of the second period shows
that, these same variables explain more than 80% changes in bilateral exports of the countries.
Similarly, the coefficient of Fisher in the first period (F-statistic = 73.54348) and the second period (F-statistic
= 71.90133) show that the model used is generally good (good fit). One can also agree that the model
coefficients have the expected sign overall:
- Cultural affinities considered here by the variable language (LEI) positively affect intra-Community
trade (t-statistic = 3.808006) and is significant at 1 The degree of significance is more in the second
period when this variable becomes insignificant. This would reflect the fact that the institution of
CEMAC in 1994 and all the measures it has brought in its wake (strengthening of the integration
process among others) have not had a significant influence between countries as swingers all
CEMAC countries already speak the same language. Also the only country that is Hispanic
Equatorial Guinea adopted French as their official language.
- As concern the variable (FEI) which assesses the impact of geographic proximity (or sharing a
common border) on trade within the subregion, it significantly affects trade internal sub-region
during the first period with a Student's t significant at 1%. Also during the second period, the
significance is accented with a student's t passes from - 2.27 to 19.080. This result would indicate
that before the reforms of 1994, sharing a border or geographical proximity reduces the exchanges
between the countries of the region because many taxes and customs controls and illegal abuse,
police harassment of the many border. But from 1994, the result suggests that tax harmonization
(tax and customs reform), the strengthening of measures to facilitate the free movement of
persons, goods and factors of production ... have somewhat contributed to facilitate exchanges of
trade within the CEMAC group.
- In terms of the variable distance, which evaluates the effect of transaction costs on internal trade of the
combination, we see that it has a negative and significant impact on trade within the sub-region in the first
period as the second. This assumes that the more the distance (transport costs, risk of damage ...) the lower
intra-Community trade. This is more pronounced during the second period and suggests that the weak and
poor road conditions increase costs and make the countries of the region more vulnerable to stock shortages.
Thus, reforms (tax and customs) to remove these barriers, as well as the construction of some roads linking
some countries of the region have failed to significantly reduce the impact of transaction costs on trade in
within the CEMAC group. This result is similar to that obtained by Agbodji (2007) as part of the UEMOA and
Cureau (2000) as part of SADC.
- The GNP of the exporting countries (GAWR) has the expected sign in the first period, but its
coefficient is not significant. By cons, The GNP has a negative and significant sign on trade within
the sub-region during the second period. This last result invalidates our hypothesis that the higher
the income of the exporting countries, the higher production capacity and volume of goods
available for exports increased. This result therefore indicates that if income increases by 10% (all
else being equal), intra-regional exports in CEMAC zone decreases by 0.7%. So the devaluation
carried out during the second period accompanied by an increase in income in these countries had
a negative impact on intra-Community trade in the subregion. This is explained by the absence of
industries processing raw materials, which are dependent on the countries studied, which would
enable them to transform these into finished products while creating added value to meet the
demand for goods is rather directed towards the outside of the region. This also indicates that the
external tariff adopted in 1994 (revised from that which existed before) is not applied to bring the
country to consume the goods from the region. The weakness of the structure of production could

555
also be explained by episodes of civil wars and rebellions observed during the second period in
some countries of the region (Congo, Chad, CAR ...). The statistical issues raised may also explain
this situation.
- The GDP of the importing States (PNBI) also has a positive and non significant sign in the
subregion during the first period. By cons, during the second period, this effect becomes negative
and significant at 1%. The coefficient of this variable indicates that a 10% increase in income in
importing countries (PNBI) causes a downward variation of 3.5% (ceteris paribus) of bilateral
exports. Unlike the GDP they used, the results obtained by Gbetnkom and Avom (2005) and
Agbodji (2005) in the UEMOA, Cureau (2000) for SADC are contrary to what we have just
obtained.
The result obtained in the CEMAC (for PNBI variable) explained by the low of purchasing power in
these countries, the homogeneity in the production structures of the countries under study, the lack
of complementarity that would diversify and increase the range of products offered in the sub
region to meet the diversity of demand, while limiting the outflow of currency for goods from
countries other than the sub-region.
- About the variable population of the exporting country (POPE), we see that during the first period, it
has a positive and significant sign at 1% of bilateral trade in the subregion. The significant effect is
still required in the second period even though the effect is only 10%. Thus, the higher the
population of the exporting countries increases, the higher its production and therefore also its
trade (economies of scale). Given the trend of production in the economies of six countries, there is
the fact that this population has almost no influence on the production of goods available in the
sub-region.Indeed the advantage presented by this population is not used because of rising
unemployment that affects a large part of it (working population) and because of the inadequacy or
incompatibility between the quality of teaching and the pressing needs observed. In addition, this
population could be a factor in increasing productivity in agriculture essential if measures to support
the latter and the state subsidies they were granted.
- With regard to the variable (POPI), which represents the population of the importing countries, it
has a negative and insignificant sign during the period before the reforms. During the second
period for cons, it has a positive and significant sign at 1% of bilateral trade in the CEMAC
zone. This reflects an increase in the population of the importing countries of 10% (ceteris paribus)
increases intra-Community trade in the CEMAC 17.9%. Indeed, this result indicates that the
population of this sub-region is a vast market for goods manufactured in the region. But in reality, a
greater proportion of goods produced in most of the time is for countries other than the sub-region
(due to higher prices offered). In addition, this population still does not care to goods from the sub-
region because of its low per capita income and this could add obstacles to the free movement of
persons and property observed in the sub-region.

4. Conclusion

The objective of this study was to evaluate the impact of reforms (preferential and community) of the mid-90s
on some determinants of intra-Community trade in the CEMAC sub-region before and after the reforms of
1994. To achieve this goal, the analysis period selected (1984 - 2003) was split into two periods: 1984 -1993
and 1994 - 2004, representing the period before and one after the reforms. And a gravity model was
estimated using data collected on a sample of six countries in the CEMAC sub-region (Cameroon, Gabon,
Congo, CAR, Chad and Equatorial Guinea) as part of an unbalanced panel by the method of generalized
least squares.
The particularity of this study is that it allowed us to identify the population (the exporter and importer),
sharing a common border and cultural affinities as determinants of increased trade within the CEMAC sub-

556
region. It showed that the population growth seen both as a market factor (increased market share) and as
the economies of scale has a positive impact on intra-Community trade in the subregion, confirming one of
our hypotheses. In addition the impact is more pronounced and significant after the reforms. For cons, the
study showed that transaction costs and transport measured by the variable distance between the countries
swingers have a negative impact on trade within the group even after the reforms of the mid- 1990, which
also confirms the assumption made on this variable.
It also shows that GDP (importer and exporter) have a significant effect after the reforms, but this effect
is negative. This sign can be described as absurd, even if this can be explained by the fact that as the GNP
of the CEMAC countries increases, its people are turning instead to the importation of out-CEMAC. The
variable distance would be a constraint to the expansion of trade within the CEMAC group because despite
the construction of some infrastructure linking several cities of the countries concerned, this variable has a
negative effect on regional trade.

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559

Enhancing Employees Collaboration Through Trust in Organizations:
(An Emerging Challenge in Human Resource Management)

Amber Tariq

Faculty of Management Sciences, The Islamia University of Bahawalpur, Pakistan
E-mail: amber_tariq@live.com

Hassan Danial Aslam

&
Senior HR Research Consultant, Human Resource Management Academic Research Society, Pakistan
E.mail: h_danial_aslam@live.com

Muhammad Badar Habib

Department of Physical Education, The Islamia University of Bahawalpur, Pakistan

Anam Siddique

Human Resource Management Academic Research Society, Pakistan

Mannan Khan

E.mail: mannan.khan@iub.edu.pk

Doi: 10.5901/mjss.2012.03.01.559

Abstract Trust has been recognized as a multi-dimensional concept with its various components. However, the missing link of
trust and collaboration is still being observed in human resource management literature. This study deliberates upon exploring
the linkage between trust and collaboration among employees in an organization. The current research highlights the positive
contribution of trust in building and sustaining collaboration in the organizations. Researchers have elaborated a detailed meta-
analysis of literature on trust and collaboration in order to achieve its effectual link with organizational performance. The findings
reveal that trust and collaboration are interdependent processes. Trust is an essential element in building collaboration and high
level of trust is required to build effective collaborative relationships.

Keywords: Human Resources, Trust, Organizations

1. Introduction

Trust for building collaboration within the organizations is an essential element as collaboration requires
working together with shared resources of the collaborative parties. The first definition of trust proposed by
dictionary.com is the reliance on the strength, ability and integrity of a person or a thing; confidence (Serrat
2009). Rousseau, et al (1998) defined trust as a psychological state comprising the intention to accept
vulnerability [to another] based upon positive expectations of the intentions or behavior of another.
Organizations that impart trust as their vital component are able to achieve five important objectives
that are, growth in profits, growth in market share, strengthened leadership, highly retained talent and

560
increased social consciousness (Anon 2011). High trust organizations are efficient in problem solving, retain
employees with more focused energy, have more efficient communication system, more retained customers,
reduced cost, more growth and development opportunities and positive reinforcement and motivated
environment (Whipple 2011).
Trust has extensively contributed in the literature of management and organizations with several major
contributions of studies (i.e. Robinson, 1996; Whitener, 1997; Kramer, 1999) Interest in the subject of trust
has been increasing with significant growth rate. Literature suggests that within interpersonal interactions of
people and within the organizations, trust is a very important factor that builds cooperation (Brower, et al.,
2000; 1995; Rousseau, et al., 1998; Shockley-Zalabak, et al., 2000). Trust is a multi defined concept and
varies accordingly to the organizations because of its different conceptualizations (Atkinson & Butcher, 2003).
Trust is a desirable quality for organizations as they seek immense collaboration among its working
teams. As Aryee, Budhwar & Chen (2002) stressed that trust is related to job satisfaction and work attitude.
They emphasized that increased trust of individuals upon other individuals and team members would allow
them to perform in an effectual manner. Moreover, trust between employees and organization is of equal
importance as it creates positive psychological contract among collaborating parties. Similarly, Konovsky and
Pugh (1994) established that in a social exchange process trust in managers is positively connected with
organization citizenship behavior. This paper aims to elaborate the linkage between trust and collaboration
and the vital role trust plays in building a climate of effective collaboration in the organizations.


Trust is seen as a vital factor which contributes towards teamworks success; inter and intra-organizational
cooperation and coordination; and partnership alliances (Young-Ybarra & Wiersema 1999; Blomqvist, 2002).
Organizations that impart high levels of trust in the participants enable them to invest high energies to the
accomplishment of organizational goals than their own protection (Moran 2001). Trust is the core factor in
building effective collaboration. Hattori (2009) states that trust building is the first step towards effective
collaboration. Organizations must not only focus on building trust but also on maintaining it. Building trust
requires ensuring open communication, sharing good and bad information to all the levels of management,
encouraging creativity, fostering talent, maintaining integrity and making consistent and fair decisions. In
order to maintain trust, organizations need to reward value added activities, keep up with their words and
promises, encourage trustworthy behaviors and punish violation of trust (Levit 2007).

2.1 Trust

There are several definitions of Trust due to its disciplinary diverse nature, social construction and different
conceptualizations. Literature puts forth various definitions of trust as according to Zand (1972) trust is the
The conscious regulation of ones dependence on another. Similarly, Cook & Wall (1980) further elaborated
the definition as the degree to which one is ready to attribute good intentions to and have confidence in the
words and actions of other people. Morgan and Hunt (1994) defined trust as a mediator of commitment and
both as key variables for collaboration. Morgan and Hunt (1994) further explained that trust has a strong
interconnection with communication. Moreover, Weitz and Jap (1995) enhanced the concept by emphasizing
that collaborative communication is of more importance as it facilitates the idea sharing of both sides rather
than one way communication.
Mcknight (1996) and Chervany (2001) identified two types of trust:
Personal trust-dispositional & behavioral and, Impersonal trust- structural/institutional

Personal Trust: The dispositional aspect of the personal trust is based on trait psychology- that the actions a
person displays are shaped by the attributes derived from the child-hood that become less or more stable

561
overtime. It means that across the broad spectrum of people and situations, the degree to which a person
shows a steady and constant propensity to depend on others whenever they are required (Mcknight &
Chervany 1996). According to Blomqvist (2002) the behavioral aspect assumes that by observing others
behaviors intentionally/deliberately or unintentionally, individuals make conclusions about others
trustworthiness. He further elaborated that behavior consists of 1) sociability, open communication; 2)
keeping of promises, integrity; and 3) learning, adaptation and commitment.

Impersonal Trust: The institutional dimension of trust is a derivation of sociology which implies that the
behaviors are constructed situationaly. The institutional trust is the combination of structural normality and
structural assurance. The former implies that the impression of trust is such that the things in a situation are
normal, favorable, conducive and proper but when faced with abnormal situations, people distrust others. The
latter explains that the protective structures (processes, guarantees, contracts etc) are favorable to the
success of situations (Mcknight and Chervany 1996, 2001).
Personal trust entails one person to trust another person. In organizational context, personal trust
reflects trust among employees who consistently display trust worthy behaviors. Here components as
benevolence (kindness, generosity), honesty (trustfulness, integrity), predictability (reliance) and competence
(efficacy) exist. Impersonal/institutional trust does not depend on personal attributes of the parties being
trusted rather it is established on institutional structures. It means that impersonal trust arises when
employees and customers feel secured from the policies, laws, regulations, practices and rules of the
organization (Anon 2011).
Collaboration is to work jointly with other person, party or institution. For a successful collaboration to
take place organizations should focus on both personal and impersonal trust. Organizations are composed of
diverse workforce where people from different locations and backgrounds work together. Trust among the
people is highly required by the organizations to meet their goals and objectives successfully. Profile of
creative ideas is enhanced if people display trust while working together. Similarly if trust exists among the
relationships, synergy is created due to the separation of responsibilities. Workplace collaboration helps in
rooting out biased decision making because of the presence of trust among all round the table (Scheid 2010).
Trust within collaborative relationships is beneficial for both the employees and the organization. It
helps to (1) reduce friction among the employees, (2) to facilitate effective organizational change as
restructuring, reclassification of a job etc, and (3) provides stability to the organization in addition to the well
being of the employees.

Trust and Collaboration Model

TRUST
COLLABORATION
Goodwill
Capability

Figure 1. Components of Trust, Adapted from (Blomqvist, 2002)


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2.2 Trust and Collaboration

Collaboration (co-labor) is to work closely and jointly with others for shared outcomes Collaboration
generally refers to individuals or organizations working together to address problems and deliver outcomes
that are not easily or effectively achieved by working alone (Keast & Mandell 2009).
Blomqvist (2002) developed a conceptual model of trust comprising of four components as capability,
goodwill, behavior and self-reference. Here trust is defined as actors expectations on the capability, goodwill
and self-reference visible in mutually beneficial behavior enabling cooperation under risk (Blomqvist, 2002).
With respect to collaboration, this study takes into consideration only two components of trust from the
Bolmqvist model, namely goodwill and capability (see Fig 1).
Goodwill is the moral responsibility of the partner and his positive consciousness towards the other.
Goodwill is further sub-divided into interest, care and concern; moral responsibility; understanding and
respect and positive intentions (Blomqvist, 2002 and Sako 1992, 1998). Blomqvist (2002) emphasized that
capability dimension of trust involves capability with respect to the technology, business and most important
of all cooperation. Organizations capability to cooperate signals its partners for the relationship capital. He
further elaborated that trust and its components have a positive impact on collaboration. He established that
for a collaborative relationship to take place, trust between the parties is required. In order to have a good
start of the collaborative relationship between the parties, each partys goodwill in the form of responsibility,
equity and positive intentions should be shown with the help of open, ethical, moral and honest
communicative behavior. Hence, for the excellence in collaborative relationship, parties should be influenced
and convinced for each others technological, business and cooperative capabilities.
Collaboration and trust are interdependent processes as they depend and support each other.
Collaboration often takes place between independent parties, so it is unlikely that they work together, share
responsibilities and resources, and invest time and energy without a measure of trust. Participants get
dependent on one another due to this mutual sharing, and this sharing is only possible if they build a
relationship of trust between them. Greater collaboration will lead to greater trust because the partners will be
able to witness the other partners reliability, honesty, benevolence, openness and competence (5 facets of
trust) (Moran 2001). Because collaborators have to achieve shared outcomes and goals effectively, they
require trust in their interdependent relationships. Figure 2 explains collaboration and its requisites. Here
trusting each other is required by the partners to fulfill the question I wonder if we could? by sharing
resources (energy, proprietary information, time, money etc) (Cisco 2008). By developing certain reputation
over time through previous interpersonal interactions and restarting the accomplishments, every collaborative
party approaches the other collaborative party (Moran 2001).

Figure 2. Collaboration and its requisites

Source: (Economic Intelligence Unit, 2008)


563
Figure 3 .

Source: (Economic Intelligence Unit, 2008)

Collaboration is strategically approached by businesses i.e. to line up the processes, technologies and
people with the strategic goals. In order to enhance the probability of successful collaboration, a sufficient
amount of trust is required (see Fig 3) (Cisco 2008).
According to report of ARACY by (Keast & Mandell, 2009), collaboration is characterized by the
relationships that are highly interdependent on each other. Collaboration is all about change in systems,
which requires the participants to take high-stakes & high-risks. This requires a significant high level of trust
among the participants and is most probably rewarding for those who are high risk takers. The relationship
continuum defined by this report includes cooperation at the first, coordination at the second and
collaboration at the third highest level. Within this continuum, cooperation requires loose connections, low
trust; coordination requires medium connections, work-based trust while collaboration is characterized by:
- Deep interdependent connections, high trust
- Frequent communications
- Information sharing that is tactical
- Change in system
- Pooled, collective resources
- Shared goals that are properly negotiated
- Inter-organizational sharing of power
- High risk/high reward

According to Atkins (2009), Trust enhances collaboration and collaboration experience helps reinforcing trust.
He found that alignment between strategic thinking and intentions offer a strong foundation for the growth
and expansion of trust. In order to build a collaborative attitude with respect to the stakeholders intentions,
trust is the pre-requisite. He also established that shared responsibility is at the heart of collaboration and
itself is the working definition of trust .
In line with Atkins (2009) and Hattori (2009) emphasized that trust is a judgment based on thoughts and
involves assessment of the feelings. You would like to feel the sincerity and concern of others for you as well
as for your well-being in addition to the judgment of competence and reliability and undoubtedly same is
expected from other side. Collaboration breeds upon this sort of trust which leads to important developments
and achievements.


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3. Conclusion

The dynamic changes in business environment have lead to the elimination of organizational boundaries
making them more globalized. This globalization compels the organizations to always device new and more
creative ways of knowledge sharing and collaboration. Effectual collaboration among employees and
organizational teams is the only key to enhanced performance which ultimately leads to meet the hyper
competitive and dynamic business scenarios. The findings of current research revealed that trust and
collaboration are highly interdependent processes where excellence in collaboration requires trustworthy
people, processes and technology. The study also revealed that collaboration is enhanced by trust and high
level of trust is required to build an effective collaborative relationship. The findings corroborated Atkins
(2009), Hattori (2009), Bolmqvist (2002) and Cicso (2008) work, where collaborative capability and trust allow
the firms to mutually share resources and go for continuous developments and achievements.

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567

Exploring Organizational Citizenship Behavior and its Critical Link to Employee
Engagement for Effectual Human Resource Management in Organizations

Narmeen Mansoor

E.mail: Narmeen_mansoor@yahoo.com

Hassan Danial Aslam

&

Tasawar Javad


Fawad Ashraf


Farooq Shabbir


Doi: 10.5901/mjss.2012.03.01.567

Abstract Organizational Citizenship is one of the emerging management concepts that are being emphasized for its unique
constitution. Organizations strive to establish organizational citizenship behavior (OCB) among their employees for attaining
exceptionally motivated workforce. The purpose of this paper was to explore Organizational Citizenship Behavior (OCB) and its
importance in recent times. It elaborates the extent to which five core job characteristics of Job Characteristic Model (JCM) lead
to organizational citizenship and its impact of employee engagement and commitment on OCB. Qualitative research design has
been adopted where extensive literature resources have been elaborated in order to understand the relationship. Researchers
have presented a detailed model explaining Organizational Citizenship Behavior (OCB) and its critical link with JCM and with
employee commitment and job engagement. Findings reveal that four dimensions (task variety, task identity, task significance
and task autonomy) Job Characteristic Model (JCM), and employee engagement produces positive impact on OCB. However,
the impact of employee commitment on OCB is not yet obvious.

Keywords: Human Resources, Organizational Citizenship, Employee Engagement

1. Introduction

Today professional world is moving towards high performance, effective organizations and the management
that could provide high degree of job satisfaction to employees. Organizational Citizenship can play an
important role in achieving these goals. As Bateman & Organ (1983) states, OCB as an effectual role
behavior which is not part of an employees routine job description, which cannot be measured through
organizational evaluation system and presence of such behaviors cannot be enforced (Organ, 1988). OCB

568
includes extra role behaviors such as co-operation with workers, coming at workplace earlier and leaving
late, helping others, using organizational resources with care, spreading positivity in organization (Turnispeed
& Rassuli, 2005).
According to (Nemeth and Staw, 1989), organizational citizenship can help organizations to improve
performance and gain competitive edge as it motivates employees to perform beyond the formal job
requirement. To be successful in todays competitive environment organizational citizenship behavior helps
organizations to accelerate towards innovation and productive approaches. As Organ (1988) emphasized,
organizational citizenship leads towards effective organizations and bring new resources for them.
Hackman & Oldham (1975), proposed job characteristic model (JCM) describing five core job
characteristics (Task variety, task identity, task significance, task autonomy and task feedback). The premise
behind introducing this model was that motivation level of employee is directly linked with the task assigned
to the employee. According to them motivational feelings can never be linked with a monotonous task. Only a
well defined and challenging task can arouse such feelings among employees. According to Hackman &
Oldhman (1975), five core job characteristic of JCM put their impact on three psychological states of an
employee that are: meaningfulness of the task, accountability of an outcome and actual knowledge of an
outcome. Literature suggests that JCMS core job characteristic leads to organizational citizenship and
produces positive impact on employee motivation.
This study aims to explore Organizational Citizenship Behaviors (OCB) particularly its five most
discussed categories (altruism, courtesy, conscientiousness, sportsmanship and civic virtue) and how it can
be related to Job Characteristic Model (JCM) and its five dimensions (task variety, task identity, task
significance, task autonomy and task feedback). Also, the model entails the crucial link of Organizational
Citizenship behavior with employee engagement which is physical and emotional attachment of employee
towards his work and his commitment with his personal goals and that of organization.

2. Organizational Citizenship Behavior (OCB)

Competitive advantage cannot be achieved by organizations just by offering products or delivering services
but human resource undoubtedly plays a vital role. That is the reason today many organizations are paying
great attention on employee engagement by motivating them to achieve organizational goals effectively.
In recent time immense attention is being given to extra-role behavior that is OCB for the fact that it leads to
better organizational performance and employee retention (Werner, 1994; Podasakoff, & Mackenzie, 1994;
Podasakoff, Ahearne & Mackenzie, 1997; Walz & Niehoff, 2000). Another reason behind OCBs popularity is
that organizations have realized the importance of extra-role behavior and the fact that those organizations
which totally rely on written roles and behaviors are actually weak and cannot survive in todays dynamic time
where innovation and being spontaneous is hours need (Wyss, 2006).
Employee behavior can be broadly classified into two categories; in-role behavior and extra-role
behavior. In-role behavior of employee is task dependent behavior which has to be performed in all
circumstances as they are part of employee job description where as an extra-role behavior is beyond normal
standards which are not prescribed in written rules of organization. These are such behaviors for which one
cannot be penalized or held accountable if not performed (Brief & Motowidlo, 1986).
The concept of Organizational Citizenship behavior was initially introduced by Denis Organ in mid
1980s which focuses on extra-role behavior. According to Organ (1988), Organizational Citizenship
Behavior (OCB) is individual behavior that is discretionary, not directly or explicitly recognized by the formal
reward system, and in aggregate promotes the effective functioning of the organization. In simple context
Organizational Citizenship (OCB) can be defined as providing voluntary help to fellow workers and going for
extra-mile for the organizational development without requesting for reward or pay. If Organizational
citizenship is seen in global context, it is all kind of positive organizational behaviors whether they are part of
prescribed (written) role or not and they must be exhibited by every employee at workplace (Graham, 1991;

569
Van Dyne et al, 1994).
Ethical behaviors like helping a new comer to understand the internal structure of the organization, helping
fellows in completing their assigned task and doing such things which are not part of their job description but
contributing in organizations performance are few things which can be linked to Organizational Citizenship
Behavior OCB (Schnake, 1991).
An immense amount of scholarly work has been conducted to identify behaviors that can be associated
with Organizational Citizenship Behaviors (OCB). Five dimensions or categories of OCB have been identified
that are: Altruism, Civic virtue, Conscientiousness, Courtesy and Sportsmanship (Organ, 1988; Moorman,
1993) which explain the concept purposefully. Firstly, Altruism: Helping the fellow worker on assigned task or
problem (Organ, 1988; Werner, 2007). This help can be provided in terms of providing relevant information,
assisting fellow employees in solving problems or helping in use of new machinery or equipment. Secondly,
Civic Virtue: Participating in organizations events, decision making or in other words contributing in
organizational governance (Organ, 1988). When organizational members attend as well as participate in
organizational events that reflect a unity and bonding between members and create a good will and positive
image in front of public this is referred as civic virtue (Allison et al, 2001). Thirdly, Conscientiousness: When
employees start performing their duties and job above the minimum level of requirement (Organ, 1988).
Behaviors such as arriving early and leaving the work place late, not wasting time in chit chat, gossips or
breaks and giving sincere suggestions whenever needed by someone (Tayyab, 2005). Fourthly, Courtesy:
Informing or alerting others from threat which might affect them or their work (Organ, 1988). It is a thoughtful
behavior that can prevent or at least alert others from some kind of harm that might affect them (Werner,
2007). For instance, notifying an employee who reports late to work before taking any disciplinary action.
Fifthly Sportsmanship: Abstain to complain about minor issues faced at workplace (Organ, 1988). Tolerating
unpleasant situations or inconveniences at workplace without complaining (Allison & Dryer, 2001). These
unpleasant situations can be completing a project with old equipment or sudden changes in the date of
deadline.
According to Graham (1991), OCB can be categorized in three subdivisions: Organizational obedience,
organizational loyalty and organizational participation. Organizational obedience is accepting rules and
regulations, structure, as well as policies developed by the board of governance. Organizational loyalty can
be described as giving priority to organizational interest over individual interest and identifying with
organizational leaders. Organizational Participation is involvement of individuals in different organizational
task.
Podsakoff, Mackenzie & Bachrach (2000) studied more than 200 published studies in between 1983
and 1999 and came up with antecedents and consequences of Organizational Citizenship Behavior (OCB).
The focus of their research was on four antecedents of OCB: Individual characteristic, task characteristic,
organizational characteristic and leadership characteristic. Literature also gives brief knowledge about
consequences of OCB. OCB has positive impact on employees as well as organization (Podsakoff et al.,
2000). OCB dimensions such as civic virtue and sportsmanship seems to produce positive impacts but
negative results had been associated with altruism (Podsakoff & Mackenzie, 1994).


570
Fig. 1 Organizational Citizenship Model

((JJJ
Organizational
Citizenship
Dimensions
Altruism Conscientiousnes Sportsmanship CivicVirtue Courtesy
JobCharacteristicModel
(JCM)
TaskFeedback
TaskAutonomy
TaskSignificance
TaskIdentity
TaskVariety
EmployeeCommitment
AffectiveCommitment
NormativeCommitment
ContinuanceCommitment
EmployeeEngagement

3. Relation between Job Characteristic Model (JCM) and Organizational Citizenship Behavior (OCB):

Since last twenty years Job Characteristic Model has been in massive discussion in order to develop in depth
insights about employee behavior. Literature depict a positive association between job characteristic and
employee behaviors (Farh, Podsakoff, & Organ, 1990; Packer & Walt, 1988; Samuel & Aubrey, 2006) but the
relation between job characteristic and OCB is still unaddressed. Only few studies can be found in this regard
(Podsakoff, Niehoff, Mackenzie & William, 1993; Samuel & Aubrey, 2006; Su & Hsiao, 2005) which elaborate
the said relationship. To examine relationship between OCB and job characteristic good, work has been done
mostly in western countries (Cappelli & Rogovsky, 1998; Drago & Carvey, 1998; Farh et al., 1990; Pearce &
Gregersen, 1991; Samuel & Aubrey, 2006) and few studies have been conducted in non western culture
(Chnien & Su, 2009; Su & Hsiao, 2005). One of the research objectives of this paper is to examine relation
between OCB and JCM.
Hackman & Oldhams (1975, 1980) proposed JCM based on 5 major job characteristic which influence
employee work related behavior and its outcome. The five core dimensions are: Task Variety The ability of
an employee to use different skills while performing work related task. Task Identity The degree to which a
task is completed by a single employee or a piece of work to which an employee can identify with. Task
significance The degree to which a performed task makes significant impact on organization as well as on
other fellow employees. Task Autonomy The degree of freedom given to an employee to perform task the

571
way he wanted to perform. Task Feedback The degree to which employee get feedback about performance
from fellow workers, employer and customers. The predicted outcomes of JCM are employees behaviors
which are highly motivated, satisfied and work more effectively by altering core dimensions of JCM that are
task variety, task identity, task significance, task autonomy and task feedback in the presence of moderating
variables such as knowledge, skills, abilities, need for growth and employee satisfaction (Banks, 2006).
There are two theories in literature which worked on Job characteristic and OCB relationship. One is
Social Exchange Theory (Konovsky & Pugh, 1994) and the other is Psychological Control Theory (Robinson
& Morrison, 1995). According to these theories there is a reciprocity rule that employees reciprocates OCB
towards those who are benefited in some manner and employees who reciprocates OCB are the ones who
are satisfied and motivated with their job.
While examining a direct relationship between job characteristic and OCB it was found that task
variables directly impact OCBs two dimensions altruism and compliance (Farh, Posdakoff, & Organ, 1990).
When there is intrinsic motivation among employees to perform the job nothing can work better than this in
organizational interest. Moreover task characteristic also produces significant impact on OCBs dimensions:
altruism, conscientiousness, courtesy and civic virtue (Podsakoff, MacKenzie, & Boomer, 1994). Job
feedback and tasks which satisfy employees intrinsically are positively related to OCB. Routinization of work
has been negatively related with OCB. These results are quite consistent with findings of Podsakoff &
Mackenzie (1993) in the survey of organizational citizenship behavior on evaluation of sales person
performance.
According to Drago & Garvey (1988), task variety produces positive impact on OCB dimensions of
altruism. On the other hand task significance and job identity positively impact three dimensions of OCB that
are altruism, conscientiousness and sportsmanship (Samuel & Aubrey, 2006). Su & Hsiao (2005), conducted
a study, which was based on 270 Taiwanese employees, proved a positive relationship between task variety,
task significance and OCB. According to Namm (2003), there is a significant relation between OCB and job
feedback.
Job Autonomy leads to OCB especially its two dimensions altruism and conscientiousness. As
autonomy gives freedom to employees, to perform the task in the way they wanted to perform it, which
directly creates positive motivation to perform the task and increases employees conscientiousness, but the
fact cannot be ignored that job autonomy could also result in resource abuse (Jinyue, 20O7). A survey of 802
hospital nurse was conducted by Anderson & Williams (1996), according to which job autonomy and job
interdependence enhances helping behavior. However, there is reasonable criticism that Job Feedback does
not lead to organizational citizenship. According to (Jinyue, 2007) job feedback dimension of JCM could not
produce significant impact on job identity, altruism or conscientiousness as human nature does welcome
positive and constructive feedback but only to certain extent.
According to Krishnan et al, (2010), three job characteristic (task autonomy, task variety, and task
significance) of JCM leads towards OCB. These findings are quite consistent with the findings of Farh et al.
(1990), Cappelli & Rogovsky (1998), and Drago & Garvey (1998). However, Krishnan et al.,(2010) research
results are inconsistent with Su & Hsiao (2005) who found that, the relationship between job autonomy and
OCB was not significant however found significant relationship between task variety, task significance and
OCB. Krishnan et al,(2010) emphasized that greater the job autonomy, job variety and its perceived
significance in employees mind, greater the chances will be for an employee to display OCB.

4. Employee Engagement and Organizational Citizenship Behavior

Kahn (1990), defines employee engagement as physical, emotional and cognitive involvement of employee
with his work or in other words employees psychologically presence with his extreme zeal and zest in
performing organizational roles. Different researchers use different measures of engagement like interest and
zeal while performing the work and they also link it with many other variables such as employee turnover

572
rate, extent of customer satisfaction, customer loyalty, and to some extent financial criterias (Harter,
Schmidt, & Hayes 2002). Employee engagement is energy, involvement and self efficacy in performing work
which is contrary to burnout dimensions that are exhaustion, cynicism and inefficacy (Maslach et., 2001).
Employee engagement serves as direct predictor of organizations financial Performance and success (Bates
2004; Baumruk 2004; Harter et al. 2002; Richman 2006). But the harsh reality of todays time is that
employee engagement is towards declining trend as organizations and workers both tend to be more
materialistic (Bates 2004; Richman 2006). In todays workplace enormous engagement gap can be seen
(Bates 2004; Johnson 2004; Kowalski 2003).
A series of studies were conducted by Gallop organization to examine the level of employee
engagement in US upon various measuring standards. The results showed that 20% of employees were not
engaged in their work at work place, 54% were neutral in their work related task and only 26% were actively
engaged (Fleming, Coffman, & Harter, 2005). The most comprehensive study on this issue was done by
(Perrin, 2007), and according to him only 14% employees are actively engaged in their work.
Employee engagement leads to organizational citizenship behavior as it focuses on employee
involvement and secures their commitment which definitely lies outside the prescribed parameters of any
organization. Rukkhum (2010), states a positive relationship between employee engagement and
Organizational Citizenship Behavior (OCB). As discussed earlier OCB has several dimensions proposed by
different researchers. Narrowing the work of all, seven dimensions are of great importance: altruism (helping
others), sportsmanship, loyalty towards organization, compliance, civic virtue, taking initiatives (at individual
level) and focus on self development. Altruism is voluntarily helping other or solving problems. Loyalty
towards organization refers to be engaged with organization and with its people even in worse situations. All
these dimensions of OCB are indeed characteristic of employees active engagement, but the OCB
dimension which most strongly co-relates with employee engagement is taking initiatives individually which
means going an extra-mile (Dicke, 2010).
However, literature depicts several criticisms on said relationship as well. According to Robinson,
Perryman & Hayday (2004), employee engagement exhibit characteristics of both Organization Citizenship
Behavior (OCB) and employee commitment but it is not alike with either, as employee engagement has a two
way nature. Employees are not actively engaged but also have business awareness and neither employee
commitment nor organizational citizenship behavior reflects these qualities Robinson et als (1995) statement
of two way nature was argued by Williams & Anderson (1991). They contradicted with view of Robinson on
Organizational Citizenship Behavior (OCB). According to them OCB performance is a result of fair treatment
with all employees and fairness in organizational policies and practices. According to (Saks, 2006) OCB
differs from employee engagement in the sense that OCB involves voluntarily behaviors that are not part of
someones job requirement whereas employee engagement is a formal role an employee performs. It is
indeed not an element of an employees job description going for an extra role behavior, but Sakss view was
argued by Dicke (2010). According to him, going an extra-mile is a common description of employee
engagement which is indeed a voluntary behavior and challenged Sakss statement that it is ones formal
role performance.

5. Employee Commitment and Organizational Citizenship Behavior (OCB)

Different scholars gave different views on employee commitment but fail to agree on common ground
(Buchanan, 1974; Porter, Steers, Mowday, & Boulian, 1979; Sheldon, 1971). According to Porter et al.,
(1974), employee commitment is actually an employee attachment, identification and involvement with an
organization. According to Buchanan (1974), employee commitment is partisan affective attachment to its
goals and values of organization, to ones role in relation to goals and values and to the organization for its
own sake, apart from its purely instrumental worth. Beckers (1960) side-bet theory gained considerable
importance in literature towards employee commitment as he highlighted two universal perspectives of

573
commitment one is calculative approach and other is affective or attitudinal approach.
According to Beckers (1960), when an individual has invested (time, emotions, hard work) in an
organization he would not make that investment worthless so to avoid such losses individuals stay with
organizations and such commitments are referred as behavioral and calculative commitments. According to
Porter, Steers & Modway (1979), behavioral commitment can be defined as Behaviors that exceed formal or
normative expectations to avoid losses. This type of employee commitment is referred as continuance
commitment (Meyer & Allen, 1991). The second type of employee commitment is attitudinal or effective
commitment. In this type of employee commitment individual goals of a person is congruent and aligned with
those of organizational goals (Porter, Steers, & Mowday, 1979). Another type of employee commitment is
normative commitment. This type of employee commitment occurs when an employee stays with an
organization because of some external pressures like organizations give rewards in advance which built
moral pressures on employees to stay within (Meyer & Allen, 1991).
Meyer et al (2002), introduced three component model of organizational commitment. In this model
they explore how different types of employee commitment leads to different organizational on the job
behaviors (OCB). According to this model OCB is positively related to affective or normative commitment and
on the other hand continuance commitment is either negatively related or unrelated to OCB.

Figure 2.

Source: Adopted From: A Three Component Model of Organizational Commitment (Meyer, Stanely,
Herscovitch & Topolnytsky, 2002)

Many researchers state employee commitment as a mediating variable. According to Vandewalle, Dyne, &
Kostova (1995), employee commitment act as a mediating variable between psychological ownership and
OCB. On the other hand Tompson & Werner (1997) found it as mediating variable between inter- role conflict
and OCB. Similarly, according to Allen & Rush (1998), employee commitment acts as mediating variable
between judging employee performance and OCB.

574
According to Organ & Ryan (1995), employee commitment and OCB are highly correlated with each
other. According to Meyer & Allen (1991), in their Three-component Conceptualization of Organisational
Commitment mentioned that employees who are highly committed towards their organizations are willing to
go beyond their prescribed job roles and are more desired by organizations than others and employee
commitment and OCB are actually two constructs in which employees go beyond their prescribed job roles.
Scholl, (1981) states employee commitment as a predictor of Organizational Citizenship.
Most of the theoretical literature available on employee commitment and Organizational Citizenship
Behavior (OCB) state a significant relationship between the two constructs. The greater the level of employee
commitment, greater is the chances to exhibit organizational citizenship. However, there are also some
contradictory views on relationship between employee commitment and organizational citizenship. According
to Meyer (1993), employee commitment leads towards OCB but Ang & Dyne, (2003) opposed Meyers view
that there is no relation between the two constructs. Shore & Wayne (1993) states, that employee
commitment decreases OCB among employees. According to them it is not employee commitment which
leads to OCB but indeed its employees feelings of obligation towards the organization and other fellow
workers which leads to OCB.
Literature on employee commitment suggests that relation between employee commitment and OCB
largely depends upon the type of commitment being studied. The concept of identification (a concept
introduced by Freud which is an emotional attachment of a person to something without any prior relation)
and internalization (accepting rules and regulation and norms of a place established by governing authorities)
are quite similar to the concept of affective commitment which leads towards OCB (O Reilly & Chatman,
1986). Conversely, William & Anderson (1991), finding on relation between employee commitment and OCB
were not consistent with that of Reilly and Chatmans finding (O'Reilly & Chatman, 1986). According to them
there is no significant relation between the two constructs. The reason behind this inconsistency can be
because of the difference in subject being observed. O Reilly and Chatman (1986) focused on self reports to
observe the relationship between the two on the other hand William and Anderson (1991) gathered data from
managers of different organizations.
Literature on employee commitment suggests a positive relation between employee commitment and
OCB but there can be chances of weak as well as strong relation between these two. According to Wiener
(1982), affective commitment can lead to organizational citizenship as it is the most ethical way to behave in
an organization. Meyer & Allen (1997) suggests, that affective commitment of employees leads to such
outcomes which are desired by most of the organizations such as employee retention, organizational
citizenship behaviors (OCB) self analysis of performance and contribution towards improving the operational
cost and sales of the organization.
On the other hand continuance commitment of employee does not lead towards OCB as affective
commitment. In this employee have a feeling of being stuck in an organization and definitely such a feeling
can never lead to citizenship behavior (Shore & Barksdale, 1991). In literature regarding employee
commitment many researchers questioned the issue that whether there is a linkage between continuance
employee commitment and OCB or the two construct are totally unrelated. According to Lynn & Sandy
(1993), there is a negative relationship between continuance commitment and OCB but they insisted to prove
that there is a relation same as in continuance employee commitment where employee exhibit their in-role
behavior which is also a part of OCB but leads to a lower level of performance. As a result OCB are not
observed thus a relation exists but a negative one.

6. Conclusion

Organizational citizenship has gained considerable importance in recent times because of its significance in
organizational well being. The focus of current study was to explore organizational citizenship and to examine
its impact on JCM, Employee engagement, Employee commitment. It can be concluded that JCMs four core

575
dimensions task variety, task identity, task significance and task autonomy leads to OCB. However, Jinyue
(20O7) highlighted the crucial issue regarding task autonomy that it is positively related to OCB but can
sometimes result in resource abuse. As far as last dimension of JCM is concerned that is task feedback,
consensus has not been achieved. Namn (2003), claimed that there is a significant relation between the two
but Jinyue (2007) study proved that they are unrelated. There is also a significant relation found in literature
between organizational citizenship and employee engagement. The more actively an employee is engaged in
his work greater are the chances to exhibit citizenship behavior. As far as relation between employee
commitment and OCB are concerned contradictory views are given by researhers. Some report a significant
relation between two construct (Meyer & Allen, 1991; Modway, 1978) and few report as insignificant (Van
Dyne & Ang, 1998). Many reported that employee commitment act as mediating variable (Vandewalle, 1995;
Tompson & Werner, 1997; Allen & Rush, 1998). If studying employee commitment on the basis of its type
than affective and normative commitment leads to OCB. The more the affective and normative commitment,
the greater chances to exhibit organizational citizenship would exist. On the other hand continuance
commitment of employee is not positively related to OCB even some claim it to be unrelated.

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Work-Life Balance as a Best Practice Model of Human Resource Management:
A Win-Win Situational Tool for the Employees and Organizations

Amber Tariq

E.mail: amber_tariq@live.com

Hassan Danial Aslam

&

Anam Siddique

Human Resource Management Academic Research Society, Pakistan
E.mail: anamsiddiqui07@gmail.com

Asif Tanveer


Doi: 10.5901/mjss.2012.03.01.577

Abstract Organizations focus upon increased revenue generated by its employees, competitive workforce and employee
dedication for achieving its strategic goals in order to meet the challenges of 21
st
century. However, in this era of hyper
competition work life balance of employees at all managerial levels has been affected enormously. This exploratory study
deliberates upon a brief elaboration of work-life balance, its importance for the organizations and the various emerging
practices/initiatives associated with it. The current research builds upon the considerable knowledge related to the theory and
practices of Work-life balance from extensive Meta-analysis of literature. The findings reveal that work-life balance is both
important for the organization and for its employees particularly in current dynamic organizational scenarios. It helps the
organization to improve productivity, efficiency, competitiveness, morale and hence gain a competitive edge. Similarly
employees are benefited from work-life balance initiatives through increased motivation to work, enhanced satisfaction,
empowerment and ultimately more commitment to the organization.

Keywords: work life balance, organization

1. Introduction

The greatest challenge to the Human Resource professionals today is to cost-effectively recruit, train and
retain their employees and for the said reason organizations are cultivating a culture that supports work-life
balance programs to help employees keep equilibrium in their professional and non-professional lives.
Work-life balance is defined as A state of equilibrium in which the demands of both a persons job and
personal life are equal (The Word Spy, 2002). Work-life balance is based on the premise that everyone
should have complete life in which a sufficient amount of time is given to the personal interests (such as
continuing education, social/community work, sports, hobbies etc) and family interest (Doherty & Manfredi,
2006). According to Lockwood (2003), work-life balance has different meanings regarding the context in

578
which it is used. There are different terms that are used regarding work-life balance, such as work/family,
work/family conflict, family-friendly benefits, work/life programs, work/life initiatives and work/family culture.
Radcliff Public Policy Center conducted a survey in 2001 in which men and women with 82% and 85%
having ages 20-39 rated family time at the top of the list of their work/life concerns.
Due to the constant changing economic conditions and demands of the society, work has changed its role all
over the world. Previously, survival and necessity were related as the subjects of work. However today, in
addition to be a necessity, work is seen as an important contributor to the personal satisfaction as well.
Today work is one of the most important tools to provide personal and professional satisfaction as well as
goal attainment which create the need of work-life programs and benefits in an organization (Joshi, et al.,
2002). Work-life harmony is a broadest term than work-life balance. Work-life balance concentrates on ones
personal mind set while work-life harmony helps to create synchronization within yourself and through which
you can help others to create as well (Anon, 2011).
Similar concept is defined in emerging term of Work-life harmony. Work life harmony, according to
Nicholls (2006), stresses on energy management despite of time management. Work-life harmony provides
advantages to both employees and employers. Employees become more committed, energetic and
enthusiastic with respect to their responsibilities for the professional and non-professional lives, and it also
helps employees to maintain energy for sorting out their priorities of professional and personal lives in order
to fulfill their responsibilities. If the employers encourage work-life harmony practices within the organizations,
it will result in greater stability of staff, reduction in cost, increased productivity and more committed staff
members.
Work-life balance has become a challenge for the organizations because of an increased need to
improve the morale of the employees, maintaining and retaining them with a precious knowledge of the
company and keeping up the speed with the current trends in the workplace. Three important factors that
lead to the need to highlight the emerging issue of work-life balance are global competition, family
values/personal lives and aging workforce (Lockwood, 2003).
This study elaborates work-life balance, how it can be a milestone in workplace harmony and an
exploration of various practices that aid in workplace balance.

2. Work Life Balance as Progressive Strategy for Organizations

Work-life balance that people demand today is not different from what people wanted yesterday. The only
difference lies in the demands of the society, as society has changed from what it was yesterday to what it is
today. Today the trend has moved towards single parent and dual-working parents with increased domestic
responsibilities. It is very critical for the organizations to attract and retain their best human capital in order to
remain competitive. The best way to do so is to consider what employees want? Today the answer to this
question is work-life balance which majority of the employees want without taking into consideration their
age, gender, type of the job, race etc (Miller, 2006).
Businesses today are operating in an extreme competitive environment with an increased need to be
more responsive and more efficient than their competitors. Additionally, employees today are pressurizing
their employers for rewarding their employment with respect to their utilization of skills, rewarding their career
and managing their lives outside the workplace. It compels the organizations to be more responsive and
flexible for their workers. Organizations that are failing to consider these issues are facing the crucial problem
of brain drain and are loosing their professional experts (Dunne & Teg, 2007).
Joshi et al (2002) emphasized that work-life balance is a two dimensional approach i.e. organizational
approach and individual approach. Work-life balance was traditionally defined in the framework of
organization as what organizations do for the individuals (organizational approach). The second dimension
(individual approach) emphasizes the fact that what individuals do for themselves. In line with Joshi et al
(2002) Bird (2006) emphasized more on these two dimensional approach and named them as The Two

579
Legs of the Work-Life Strategy. He renamed the organizational approach as system approach (left leg)-
how do organizations contribute to create better work-lives for their employees.

Fig 1. Work-Life Balance Model (A win-win situational tool for the employees and organizations)

The individual approach (right leg) says that how do the individuals themselves balance their work-lives.
According to Bird (2006) if an organization has already implemented (employee assistance programs) EAP,
flexible working hours, health insurance policies etc, it has already built a left leg. The major focus is then on
the right leg the individual approach. Every employee has different work-life balance from every other
employee with respect to their employment status e.g. a person who has a career start, will have a different
work-life balance approach than the person who is being retired.
In a holistic sense work-life balance is the match that a person achieves in multiple facets of life. Work-
life balance as the name indicates is to achieve a level of equilibrium, symmetry or stability which thus
creates harmony and synchronization in a persons overall life (Clarke, Koch, & Hill, 2004). Three features of
work-life balance have been discovered by Greenhaus, Collins and Shaw (2003). Time balance is the first
one which emphasizes the time allotted to work and non-work part. The second is the involvement balance

580
which emphasizes the degree to which one involves himself in work and non-work part; and the third is
satisfaction balance which elaborates the degree to which one attaches his satisfaction to work and non-work
part of life (Greenhaus, Collins, & Shaw, 2003). According to Ahmer (2009), work-life imbalance itself defines
work-life balance. According to him the two signs of work-life imbalance are:
- An upset family life where a belief develops that we are not living up to the mark/expectations
- Self-neglecting in addition to the declining health because of a feeling of lack of achievement and
fulfillment.
Another way to look at work-life balance is through a continuum where the workers state from balance
working life is depressively extended to unbalance work life. It elaborated the one extreme is subsistence and
the other extreme is hedonism. Fig 1 elaborates the continuum.

Fig 1. Balance/imbalance continuum (Clutterbuck, 2003)
Subsistence Conflict
Integration
Idleness Hedonism

One extreme is subsistence that is characterized by working continuously for extended hours and have very
little left from the resources to put in other facets of lives. Then is conflict state where people put a great effort
to resolve contradictory demands. Third state is integration that is characterized by the attainment of less or
more satisfaction in numerous aspects of lives. Idleness which is the fourth state of continuum is typified by
inability or unwillingness to work. The other extreme end is hedonism where the individual does not feel any
need to work and spends his time in non-work/unproductive activities (Clutterbuck, 2003).
Guest (2001) and Zedeck & Mosier (1990) stressed that work-life balance can be conceptualized with
the help of five evocative models. The segmentation model emphasizes that work and work-life outside are
separate segments that are not interdependent on one another and one segment does not affect the other.
The opposite of segmentation model is the spillover model that states that work and life outside work are
interdependent. The compensation model elaborates that both segments compensate for each other for the
things that are lacking in each. The fourth is the instrumental model which emphasizes that one segment
stresses or highlights the other segment. The fifth is the conflict model that stresses that each segment has
its own demands because of which individuals set preferences and as a result conflict arises.
Driscoll (1996) identified that for both employers and employees work-life balance has various
advantages and work-life imbalance has various disadvantages. Employees are drastically affected by the
work-life imbalance; the results include poor mental health, poor physical health, stress, lack of job
satisfaction etc. For employers the consequences of work-life imbalance include absenteeism, poor
performance on the job, higher turnover of the staff, costs related to recruitment and training (Department of
Trade and industry, 2001). Where as positive experiences with the work lead to personal and professional
goal attainment, job satisfaction and hence improving quality of personal and professional life (Spinks, 2004).
According to Bird (2006), CEO of work-life balance.com; work-life balance is all about achievement and
enjoyment. The meaning of achievement is very well explored but enjoyment here means having satisfaction,
pride and a feeling of well-being. He divided life in four quadrants as work, family, friends & community and
self. He stressed that achievement and enjoyment should be felt in all of the four quadrants for a work-life
balance.

581
Work-life balance is very critical to the organizations with respect to their key objectives. Organizations
are now aware of the importance that workers place to their work-family lives. Organizations are concerned
to the work-life balance issues because of the impact it places on:
- Growth and profits- well implemented work-life programs enhance productivity, growth and increase
return on investment.
- Complete involvement and services to the customers-work and life if balanced makes the
employees committed to the organization as well as its key objectives and goals who in turn
become more devoted, fully involved and engaged in order to satisfy the organizations customers.
- Competitive advantage-employees now place greater expectations from their employers for their
work as well as family needs. Companies that professionally deal with the work-life balance issues
and help in retaining their employees have a more committed and loyal workforce that can help the
organization in generating a competitive advantage.
- Solution to health-care cost-a considerable amount of cost is incurred in improving employees
health by the organizations. Companies have become cautious and take proactive measures to
help employees improve their own quality of life so that a healthier workplace is created (Bird,
2006).
In line with Bird (2006) findings, Dunne & Teg (2007) elaborated more on the importance of work-life balance.
According to them benefits to businesses from work-life balance are Increased efficiency and cost
effectiveness from less downtime or reduced overheads (employees when work from their homes), attracting
more talented skills (because business is capable to preserve skilled and talented workforce and also
recruitment cost is reduced), increased morale of the staff, improved job satisfaction, greater ability to retain
staff, increased employee commitment, improved competitiveness, and improved relations (employees,
customers). Similarly, benefits of work-life balance to the employees are satisfaction to work, increased
empowerment, control over the day to work, choice of the working time to work efficiently, stress reduction,
increased motivation, more passion to work, and staff empowerment.
In addition to the above mentioned benefits, Bird (2006) emphasized some more benefits to the
organization and the individual himself. To the organization, work-life balance helps in better teamwork and
communication, increasing employee commitment and accountability and organizational stress mitigating. To
the individual the benefits include placing balance between the work and family values, improved individual
relationships and reduction in stress level.
The most powerful tool to motivate, recruit and retain staff seen by HR sector is dealing through work-
life balance issues to create work-life harmony. Organizations need their employees to do their utmost efforts
for the company. As it is two way process, employees should feel that the company is concerned to their
needs and helps in managing their work and family lives equally. Every company should honor the needs of
their employees by adjusting their patterns of work so that they can synchronize their work and non-work
lives (Dunne & Teg, 2007).
In order to help employees for creation of balance and equilibrium in their work and non-work lives,
three extensive work/life strategies have been discovered i.e. flexible options for working, specialized leave
policies and dependent care benefits (Morgan & Milliken, 1992) (Ministerial Taskforce on work and family,
2002). These strategies include the work/life balance initiatives summarized as compressed workweeks, flexi
time, job sharing, part time work, home telecommuting, work at home programs, shorter workdays for
parents, paid maternity leave, bereavement leave, paid leave to care for sick family members, paternity
leave, company referral system for childcare, on-site/near site company childcare, program for emergency
care of ill dependants, re-entry scheme, childcare programs during school vacation, phased retirement,
sabbatical leave, life skill programs, professional counseling, subsidized exercise for fitness centre, relocation
assistance, and work and family resource kit or library (Hudson, 2005). In addition to that according to Dunne
& Teg (2007), for an effectual work-life balance initiatives can take various forms as job sharing, compressed
work weeks, part time working etc. Joshi et al (2002) further emphasized common work-life

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initiatives/programs such as job sharing, employee assistance programs, in-house store/services, gym
subsidies, vacations and concierge services. A survey of 3728 working employees conducted by Spherion in
2003 revealed that 96% of the respondents mentioned care of the employees family concerns through flexi
time options, and compressed work weeks etc. as attractive factors of their companies. This study also
revealed that employees are 20% more expected to stay with their employers for the next five years who are
been offered by work-life balance benefits and various initiatives (Spherion, 2003).
According to Business link (2011), the more important practice of work-life balance programs is
flexibility working options. Flexible working calls for flexibility in time (part-time etc) and flexibility in location to
work (tele working etc). Most popular Flexible working types include:

Working part-time: workers are allowed to work less than the standard time, basic time or full-time.
According to a report published by European Investment Bank Luxembourg (2005), part-time working is used
by the employees to take time out of work for their family concerns, studying or hunting their personal
hobbies.

Flexi-time working: which employees choose for themselves from a set standard of hours that is determined
by their employers to work without restraint (Business link, 2011). Flexi-time is an arrangement in which
organization gives its employees the autonomy of flexible working hours. Under this arrangement, there is a
core period in a day which is mandatory for the employees to be present at and the rest is the flexi-time.
Organization get benefited from flexi-time arrangements with increased morale of the staff, reduced stress
among employees, increased retention of the staff, and more efficient productivity. The employees are also
benefited from flexi-time arrangements as they have more control over their work, can adjust easily to all the
activities (work and non-work), better utilize their free time, avoidance of congestion, without taking time-off
employees, and life outside work issues (flexi time planner). At a financial service company, it was surveyed
that employees who had option of flexi-time and who had control over their work were having less burnout
index than those who did not have (Corporate Voices for Working Families, 2011).

Staggered hours: also known as Rota working is the arrangement in which start time, lunch time and finish
times are different for different individuals (Business link, 2011). Under this arrangement employees have
fixed working hours in which they work however each employee has specific starting, ending and lunch/break
times. It also helps in evading rush hour traffic (The University of York-Human Resources, 2009). According
to a report by International Labor Office Geneva (2004), staggered hours are an important tool to ease the
problem of congestion. However, Workers have to be cautious in fixing beginning and ending time within
recommended limits.

Compressed work weeks: Compressed workweeks play an important role in publishing, manufacturing and
financial services industries. An important rationalization to implement compressed workweek arrangements
is economic efficiency (Bencivenga, 1995). Compressed workweeks are the arrangements in which workers
in fewer working days fulfill their allotted (standard) work load (Business link, 2011). Compressed workweeks
are aimed at creating a more flexible system in which employees can assimilate their personal and
professional lives and get time to work through the issues of pursuing education, eldercare, commuting, and
childcare etc. The most popular types of compressed workweek arrangements are 4/10 (which means four
days with 10 hours per week); 9/10 (9 days and 80 hours per two weeks) (UC Davis-Human Resources,
2010).

J ob sharing and job splitting: According to Business link (2011), job sharing is an arrangement in which job
is shared between two workers with pre decided hours to work for each other. When two employees divide
the full-time job between both of them, a job sharing arrangement is said to have taken place. According to

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the University of York-Human Resources (2009), all the facets of the job along with the pay package and
benefits are shared. The various patters of job sharing are Split week-with a five days week, where each of
the two employees works for two and a half days, Split day- an arrangement in which the day is divided
between the two employees i.e. one works in the morning and the other works in the afternoon or vice versa,
Week overlapping- both of the employees work for three days per week, in this way there is an overlapping of
one day, and Alternate weeks-each partner works for the whole week and gets the same time off from the
work. For a job sharing arrangement to be successful, every employee should have the potential to perform
to his utmost. A properly implemented job sharing program can be a win-win situation for the company and
the employees as employees will be more satisfied and a result of which will be more productive (Javitch,
2006). A successful job sharing program is the best way to avoid lay-offs (Greenhouse, 2009).

Term-time working/contracting: Under this arrangement employees work on permanent contracts and are
allowed to take leave (either paid/unpaid) in the time of school holidays (Business link, 2011). Such time of
arrangement is fruitful for the working parents who have school-going children so that they may get time to
spend with their children at home (The University of York-Human Resources, 2009).

Tele commuting/tele working: It is an arrangement in which employees carry out complete or part of their
work from homes instead of their offices, away from the premises of employer (Business link, 2011). Tele
working is a work program that allows the employees to do job-relevant work at their home through a
computer system away from usual working hours of the office (Duxbury, Higgins, & Mills, 1992). According to
the report of European Investment Bank Luxembourg (2005), tele commuting enables staff members to
accomplish their activities (pat or full) from homes regularly. Tele commuting allows white collar employees to
link to the companys network in order to accomplish the work activities by sitting at homes. An important
purpose of tele commuting is to make the schedules of the employees more flexible (Joshi, et al., 2002).

Career breaks and unpaid leaves: This arrangement allows the employees to take specific time period off
from work in order to work through the personal family issues. This program is an important way to retain
employees who are useful for the organization. Unpaid leaves are short period leaves usually ranging from
one day to three months. Career breaks are longer term leaves usually ranging from three months to twelve
months (The University of York-Human Resources, 2009). In order to address the personal priorities,
employees usually take unpaid leaves from their careers (European Investment Bank, 2005).
Other work-life initiatives/practices may include:

Parental leave: Companies using this work-life balance program allow the parents to take some time off from
work in order to look after a young child or to manage action plans for his welfare. The advantage of this
program for the employees is to keep a balance between their work and family life (European Investment
Bank, 2005). Employees feel esteemed and cherished when their employers allow them for parental leave,
as a result of which employees perform with more dedication and devotion to the employer. Hayward (2011)
stressed that by this work life balance tool employees withholding is enhanced and less cost is incurred on
training and recruitment (Hayward, 2011).

Dependant care initiatives: This program includes dealing with elder care and child care issues. Eldercare
is the most emerging issue in work-life balance. Emergency eldercare and eldercare referral services are the
most popular eldercare programs offered by the companies (Lockwood, 2003). Emergency eldercare entails
concern of the employees for their elders to look after them because employees themselves are unable to
look after them (if they have to work overtime). In this situation employees company makes several
arrangements with any community center to provide services for the employee. The benefits of this program
are lower absenteeism rate, reduction in stress level of employees, more engagement in work (HRSD, 2007).

584
Most of the companies also offer for emergency child-care services. Under this arrangement, if parents have
to work overtime due to which they are unable to look after their child, the company makes arrangements
with a community or private center to provide the service for the childcare. The other programs include
providing financial aid to the employees for child-care and in-house child-care facilities (also known as
workplace child-care) in which company makes the arrangement within or near the workplace where
employees children are looked after (HRSD, 2007). Other child-care programs for supporting employees
include referral services and after school programs (Joshi, et al., 2002).
Thus offering flexibility to the employees through work-life balance programs/initiatives detailed above
results in a positive impact on the productivity, sales, profits per employee, job satisfaction, rate of retention
and job commitment (Corporate Voices for Working Families, 2011). Hence, introducing, integrating and
maintaining work-life balance initiatives or programs help in giving a boost to the organization. The more
companies invest on the well being of their employees, the more enhanced employees quality of life would
be and the more positive return company would get on human resource investment.

3. Conclusion

Having burn-out and stressed employees are of no use to the organization and the key to make an
organization successful lies in the satisfaction, commitment and deliberate involvement of the employees. For
this purpose many companies have begun to introduce work-life balance programs in order to help the
employees efficiently deal with their work professional and personal lives (Roberts, 2005). Due to the
increasing intricacy in todays work and non-work lives, organizations have incorporated work-life balance
initiatives to deal with the emerging issues as child-care, eldercare and many others (Spinks, 2004).
However, the better implementation of these programs is dependent upon employers who have to be
concerned and through proper communication identify the needs and concerns of the employees to help
them in creating a balance in their professional and personal lives (Hayward, 2011).
Work-life balance is a tool that has been adopted by the most successful organizations such as HP, Apple,
Microsoft and Shell (Dunne & Teg, 2007). Lockwood (2003) also stressed that a significant improvement is
observed in the productivity, retention and commitment of employees, lower absenteeism rate and high
morale environment. Hence work-life balance initiatives are the win-win situational tools for the employers
and the employees as the organizations goals are accomplished and fulfilled successfully along with the
personal needs of the employees.

References

Ahmer, S. (2002). Work-Life Balance:Reflections and Interventions. Timelenders.
Anon. (2011, may 8). Retrieved august 5, 2011, from luxuryclues.com: http://blross.typepad.com/luxury_clues/2011/05/work-life-balance-
is-a-myth.html
Bencivenga, D. (1995, june). Library. Retrieved july 17, 2011, from find articles website:
http://findarticles.com/p/articles/mi_m3495/is_n6_v40/ai_17191258/
Bird, J. (2006). Work-life Balance-Doing it Right and Avoiding the Pitfalls. Employment Relations today , 33 (3).
Business link. (2011). Home:Business link. Retrieved July 16, 2011, from Business Link website:
http://www.businesslink.gov.uk/bdotg/action/detail?itemId=1073791178&r.i=1075398836&r.l1=1073858787&r.l2=1073858914&r.l
3=1074428798&r.l4=1073931239&r.s=sc&r.t=CASE%20STUDIES&type=RESOURCES
Clarke, M., Koch, L., & Hill, E. (2004). The work-family interface:Differentiating balance and fit. Family and Consumer Sciences
Research Journal , 33 (2), 121-40.
Clutterbuck, D. (2003). Managing Work-life Balance:A guide for HR in achieving organizational and individual change. London:
Chartered Institute of Personnel and Development.
Corporate Voices for Working Families. (2011). Business Impacts of Flexibility: An imperative for expansion.
Department of Trade and industry. (2001). The business case. Your business can't afford to miss it. Retrieved September 2, 2005, from
http://www.dti.gov.uk/publications
Doherty, L., & Manfredi, S. (2006). Action research to develop work-life balance in a UK university. Women in Management Review , 21

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Dunne, H., & Teg, C. (2007). Puttin Balance into Business-Worklife balance as a business strategy for avoiding brain drain. Strategic HR
Review , 6 (6).
Duxbury, L. E., Higgins, C. A., & Mills, S. (1992). After-Hours Telecommuting and Work-Family Conflict: A Comparative Analysis.
INFORMATION SYSTEMS RESEARCH , 3 (2), 173-190.
European Investment Bank. (2005). Work/Life balance. European Investment Bank, Human Resource Department, Luxembourg.
Fineman, M. (1999). Why diversity professionals should care about work/life balance. Mosaics. flexi time planner. (n.d.). what is flexi
time? Retrieved July 16, 2011, from Flex planner website: http://www.flexitimeplanner.com/Flexi-time-policy.aspx
Greenhaus, J. H., Collins, K. M., & Shaw, J. D. (2003). the relation between work-family balance and quality of life. Journal of Vocational
Behavior , 53, 510-31.
Greenhouse, S. (2009). Work-Sharing May Help Companies Avoid Layoffs. The Newyork Times.
Guest, D. E. (2001). Perspectives on the study of work-life balance. A discussion paper. Retrieved august 30, 2005, from
http://www.ucm.es/info/Psyap/enop/guest.htm
Hayward, A. (2011). Parental leave pays off for business - Fair Work Ombudsman Nicholas Wilson.
http://www.theaustralian.com.au/business/breaking-news/parental-leave-pays-off-for-business-fair-work-ombudsman-nicholas-
wilson/story-e6frg90f-1226089769680. The Australian.
HRSD. (2007, January 31). home:Human Resources and Skills Development Canada. Retrieved July 17, 2011, from Human Resources
and Skills Development Canada website: http://www.hrsdc.gc.ca/eng/lp/spila/wlb/wppp/01dependant_care_initiatives.shtml
Hudson. 20:20 series- A case for work/life balance:closing the gap between policy and practice.
International Labor Office. (2004). condition of work and employment programs:staggered hours scheme. information sheet, International
Labor Office, Geneva.
Javitch, D. D. (2006). The Pros and Cons of Job Sharing.
Joshi, S., Leichne, J., Melanson, K., Pruna, C., Sager, N., Story, C. J., et al. (2002). work-life balance...A Case of Social Responsibility or
Competitive Advantage? worklifebalance.com,Inc.
Lockwood, N. R. (2003). Work/Life Balance-Challenges and Solutions. Alexandria,USA: Society for Human Resource Management
(SHRM).
Miller, H. (2006). When Work and Life Balance, Everyone Wins.
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issues. Human Resource Management , 31, 227-48.
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Organizational Psychology , 11.
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http://www.hr.ucdavis.edu/worklife-wellness/work/workplace-flexibility/compressed-workweek
Zedeck, S., & Mosier, K. (1990). Work in the family and employee organization. American Psychologist , 45, 240-251.


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Two Top-Down Approaches of the Public Policy: Similarities, Differences and
Ethics of the Bardachs and Kingdons Perspectives of Policy Process

Ylmaz imek

Ankara Emniyet Mdrl
Email: ysimsek@yahoo.com

Doi: 10.5901/mjss.2012.03.01. 587

Book Review

Bardach, Eugene, (2000), A Practical Guide for Policy Analysis: The Eightfold Path to More Effective
ProblemSolving, New York: Seven Bridges Press.

Kingdon, John W. (2003), Agendas, Alternatives, and Public Policies, New York: Longman.

Abstract This comparative review analyzes two top-down approaches of public policy, the approach of Eugene Bardach,
representative of the classical side, and the approach of John Kingdon, representative the modern side. By this review, readers
are going to identify and evaluate the similarities, differences and the ethics of the perspectives. This analysis shows the
identical differences about how ideas become policy. This comparative review also shows the different aspects of the two top-
down approaches, so it can be also seen as a comparison of two top-down approaches of the public policy

Keywords: Public policy, Eugene Bardach, John Kingdon

1. Introduction

Both Eugene Bardach (2000), in A practical Guide for Policy Analysis, and John Kingdon (2003), in Agendas,
Alternatives, and Public Policies, discuss how policy solutions are derived. Bardach (2002) gives information
for more effective problem solving through his eightfold path. In Bardachs model the analyst defines the

588
problem, lays out alternatives and then attaches a set of projected outcomes. Next, he determines the nature
and magnitude of the tradeoffs implicit in different policy choices. Lastly, he recommends which alternatives
should be chosen.
Kingdon (2003), on the other hand, explains the processes of public policy as consisting of the following
steps: setting of the agenda, specifying alternatives, making an authoritative choice among the alternatives,
and finally implementing the decision. He argues that policy windows open at the convergence of three
independent streams. This article identifies and analyzes the similarities and the differences of two
perspectives. Then, it assesses the ethics of both perspectives. Finally, it gives a brief summary.

2. Similarities of the Perspectives

Both Kingdon and Bardach are university professors. Both authors use top-down approach (Birkland, 2001)
for their policy implementations. Bardachs reading has a clearly defined goal: problem solving; it contains a
clearly defined policy tool: the eight-step path; and it does not have any implementation chain. Also,Bardach
does not mention anything about receiving feedbacks from bureaucrats. Likewise, Kingdon agrees that
hidden participants such as career bureaucrats do not impact agenda setting.
Both Bardachs and Kingdons client audiences are professionals. The presumed user for Bardachs
reading is public policy students, practicing policy officials in government, and professionals in executive-level
training programs. Kingdons book is clearly not intended for the lay reader, but for political scientists and
policy specialists interested in theorizing about policy formation.
Bardach stresses that policy analysis draws on intuition as much as method, so it is more art than
science. However, his eight step mechanistic path is in contradiction with this. In fact, he promotes scientific
research methods; he says that gathering quantitative data for policy research is important. Radin (1997), in
The Evolution of the Policy Analysis Field, talks about earlier and contemporary policy analysts. Similar to
Radins earlier policy analyst, Bardach believes that information is available and appropriate to give good
advice directly to decision makers (Radin, 1997). Kingdon also uses scientific research methods to discuss
how ideas become policy. He mentions careful empirical observation (p.18) as a scientific method.
According to Bardach an analyst should first describe some problem that needs to be mitigated or
solved. Second, he should lay out a few alternative courses of action. Even though Kingdon looks at the
issue from a wider perspective, he does not refute Bardachs assertion that using a problem is the starting
point of analysis. He says that when government recognizes that there is a problem that needs to be dealt
with, they must set about narrowing the list of possible policy choices.
According to Bardach, all of the time doing a policy analysis is spent in two activities: thinking and
collecting data. He mentions that gathering data takes more time than thinking, but thinking is more important
than gathering data. Kingdon also mentions the importance of ideas. He argues that ideas are often more
important than the push and pull of interest groups in affecting the substance of public policy.

3. Differences Between the Perspectives

Bardachs book is for policy analysts. The main idea of the book is to describe how policy analysis can be
done. However, Kingdons book is for policy makers, actors, and policy analysts. Starting with the policy
process, his work includes agendas and alternatives as well as policies. It addresses why and when an issue
gets on a government's agenda. His approach is why and when rather than how. According to Radin (1997),
Bardachs approach of policy analysis is in a vertical scale because he sees policy as a province of analysts.
Kingdons approach, on the other hand, is seen as being on a horizontal scale (Radin, 1997). Kingdon
mentions that policy is neither the sole province of analysts nor is politics the sole province of politicians.
Bardach offers a mechanistic model, the eight-step path of policy analysis. According to him, it is not
necessarily taken in precisely that order; however, an effort to define the problem is almost always the right

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starting place, and telling the story is almost inevitably the ending point. Kingdon, on the other hand, says
that his model does not depend only on randomness, but follows some degree of patterns. Kingdon points
out that the government looks at the policy in terms of technical feasibility, value to community, anticipation of
future constraints and of course monetary issues.
Like Birkland (2001), Kingdon distinguishes between participants and processes. Using the garbage
can model as the basis and starting point, Kindgon develops his policy window concept of policy making. It
has three fundamental processes: problem recognition, policy generation, and politics. According to Radin
(1997) policy analysis in the past was based on technique driven economic model, but today its aim is to
assist decision makers. Kingdons garbage can model certainly assists decision makers. Its approach
appears to be a more modern concept of policy analysis than Bardachs. On the other hand, a mechanistic
technique like Bardachs lends support to the rational and traditional approach to policy analysis. Still, rational
policy making is portrayed as impractical for the most part, according to Kingdon. Shulock (1999) criticizes
the traditional view of policy analysis because it reflects the rationalist foundation of traditional policy analysis
which limits understanding of policy analysis and its role in the policymaking process.
Kingdon, unlike Bardach, also supports the agenda setting process. He defines agenda setting in a way
similar to Birkland (2001) and Ripley (1991). According to Kingdon, it is a process that involves problem
identification, acceptance of a public problem, stateing alternative solutions and defining how to implement
those solutions (Birkland, 2001 & Ripley 1991). Birkland (2001) defines two ways in which groups take
advantage of agenda shifts by utilizing what Kingdon terms the window of opportunity. They are as follows:
(1) changes in policy perception; (2) changes in the policy stream. He also identifies focusing events as
sudden events that can generate attention to public problems or issues. According to Kingdon, focusing
events can cause a shift in agenda. Birkland (2001) uses the Exxon Valdez oil spill in Alaska to illustrate this
point.
Kingdon uses problem solving as one of the objectives, but not as the final one. However, problem
solving is the final goal for Bardach. Elements of his Eight Step Path can be applied generally to problem
solving and so policy development is dependent on the problem being defined first. According to Kingdon,
each process (problems, policies, and politics) are independent from each other up until the time that they
form a coupling stream and an opportunity for action occurs. Policy windows are aided by focusing events
which may cause the above processes to merge into a stream and then work in conjunction with the windows
of opportunity. Shulock (1999) argues that policy analysis may be a more effective instrument of the
democratic process than the problem solving process. She says that if policy analysis were used as a
problem-solving tool, there might actually be less use of analysis.
Bardach states that the definition of a problem is the first step in gathering evidence, and is essential in
preparing the end step. He includes missed opportunities and conditions as problems. Yet, Kingdon defines
problems as starting out as conditions that evolve into an issue about which something needs to be done.
According to him, conditions are also defined as problems when they violate important values or are
negatively compared with a condition in other countries. For an issue to make it to a government agenda, it
must first be recognized as a problem. Problems can gain visibility because of an event. It becomes an
agenda item only if there is additional attention brought to the governmental officials through other indicators
such as a focusing event, and/or feedback.
Radin (1997) argues that there are more actors/participants in policy process today than in the past.
Bardach do not mention importance of actors in policy process. Kingdon talks about participants, but his
classification of participants is different than Birklands classification (2001) of official and unofficial actors.
According to Bardach, policy analysis goes beyond personal decision-making. It is a social and political
activity that appears as a confusing welter of details, personalities, rhetorical demands, budget figures, rules
and routines, interpretations, attitudes, and interest groups. Kingdon, on the other hand quantifies how
influential certain groups are to policy formulation and implementation. He looks at the influence of groups
inside and outside of government. According to him, there are visible participants, such as elected officials,

590
political appointees, the media, political parties and interest groups, and hidden participants, such as
academic specialists, career bureaucrats and congressional staffers. He notes that the visible participants
are far more important in agenda setting than the hidden participants.

4. Ethics of the Perspectives

Bardach mentions that a policy has the effect of insulating people from the consequences of actions. He
writes that there may be adverse side-effects of policies. According to him, an ethical policy analyst always
asks if people actually were to follow my advice, what might be the costs of my having been wrong? (p.35)
For him, analyst should take personal moral and intellectual responsibility for the quality of their policy
analysis.
According to Weimer and Vining (1992), analytical integrity, responsibility to client, and adherence to
personal conception of the good society are appropriate roles of the analyst. Based on these roles, they
assume that there are three kinds of policy analysts: objective technician, clients advocate, and issue
advocate. Among them, Bardachs analyst fits into objective technician because he provides objective advice
about the consequences of proposed policies (Weimer & Vining, 1992). According to Weimer and Vining
(1992), objective technicians view clients as necessary evils, so they tend to select institutional clients as
Bardach does. In order to contribute to the good society by providing unbiased advice, they prefer to draw
their tools from different disciplines and believe that values relevant to the choice of politics should be
identified (Weimer & Vining, 1992).
According to Bardach, a researcher needs to be prepared to protect his work from political and
intellectual attack that is intended to undermine its credibility. Also, he gives little attention to partisan and
societal value conflicts. He accepts the policy analyst as an advisor, not involved in partisan politics (Radin,
1997). Bardachs idea about politics reminds the reader political environment for policy analysis in the past
(Radin, 1997).
Kingdons analyst is not an objective technician because he gives importance to the politics. Also, he is
neither client advocate nor issue advocate. He juggles all three roles. Weimer and Vining (1992) argue that
the analysts do not need to adopt any of the three roles, mentioned above. They suggest that the analysts
should try to keep all three roles under consideration, rather than selecting one value and sacrificing the other
two. The ethical problem, then, involves how much value can be sacrificed when conflicts arise.
In order to solve that problem, a code of ethics may be needed. However, unlike many professions,
policy analysts are not governed by code of ethics to guide the behavior of their members. Then, the issue is
if they need a course of ethical standards adapted from another discipline. Weimer and Vining (1992)
suggest that policy analysts should work toward an ethos for the new profession of policy analysis rather than
writing for a code of ethics. The market model takes policy analysts where they are.
Weimer and Vining (1992) propose that analysts have clients who are players in the game of politics.
According to them, policy analyst should take into consideration both the interests of the client and interests
of the other players in order for his recommendations to be adopted and implemented. According to Kingdon,
public mood, public opinion, and broad social movements are important determiners of the political agenda.
He argues that the public mood play a role in promoting the problem to an agenda. If the national mood is not
right, the policy will never become operational.
Contemporary policy analysts are faced with political pressures, information overload and ever changing
clients (Radin, 1997). Based on Stone (2002), Radin (1997) assumes that modern policy analysis is political
argument. This assumption also supports Kingdons ideas. In setting the agendas, Kingdon talks about
problem recognition, formation and refining of policies, politics and the visible participants. Like Weimer and
Vining (1992), Kingdon does not separate policy analysis from politics, which has practical and ethical
implications. His political stream uses political in the narrow sense of partisan politics which refers to
electoral, partisan, or pressure group politics.

591
Meltsner (1992) recognizes a set of existing and recurring problems facing those who analyze policy. He
terms these problems as deadly sins and believes that such sins are inevitable for anyone in the position of
giving political advice. It seems his approach is traditional (objective technician). Therefore, he might criticize
Kingdon as being too channeled, distant, late, superficial, topical, and capricious. Also, he might criticize
Bardach as being apolitical.

5. Conclusion

The similarities and differences of two perspectives have been identified and analyzed, and the ethics of
them have been assessed. Both perspectives use top-down approaches. They both use scientific research
method. They start with describing the problem. Thinking and ideas are often important for both perspectives.
Their audiences are professionals. While Bardachs book is for policy analysts, Kingdons book is for policy
makers and actors, in addition to policy analysts.
Bardach uses an earlier approach for policy analysis; whereas, Kingdons approach is more
contemporary. Although traditional approach is based on a final goal of problem solving, modern approach is
based on decision-making. Bardachs approach of policy analysis is in a vertical scale, but Kingdons
approach is in a horizontal scale. Bardach does not mention actors of policy process. Conversely,
participants are important for Kingdon. Bardach offers a mechanistic model of policy analysis. Kingdon uses
garbage can model. He says that there are times, "policy windows", when the separate streams of problems,
policies, politics are joined. He also distinguishes between participants and processes.
Bardach takes responsibility for the quality of his policy work. He fits into objective technician model
which is away from politics. However, Kingdon gives importance to the politics. He keeps all tree roles of
policy analyst but sacrifices value which is an ethical problem. He also argues that public mood, opinions,
and movements are important as players in the game of politics to determine the political agenda.

References

Bardach, E., 2000. A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem Solving. New York: Seven
Bridges Press.
Birkland, T., 2001. An Introduction to the Policy Process. New York: M.E. Sharpe Inc.
Kingdon, J., 2003. Agendas, Alternatives, and Public Policies. New York: Longman.
Meltsner, A., 1992. The Seven Deadly Sins of Policy Analysts. In J. M. Shafritz & A. C. Hyde (ed.), Classics of Public Administration (pp.
533-538). California: Brooks/Cole.
Radin, B. 1997. The Evolution of the Policy Analysis Field. Journal of Policy Analysis and Management, 16, 204-218.
Ripley, R.. & Grace, F. 1991. Congress, the Bureaucracy, and Public Policy. California: Brooks/Cole Publishing.
Stone, D. 2002. Policy Paradox: The Art of Political Decision Making. New York: W.W. Norton.
Weimer, D. & Vining, A. 1992. Policy Analysis: Concepts and Practice. New Jersey: Prentice Hall.

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Significant differences between males and females p < 0.05

Year Typhoid Dysentery Diarrhea Cholera

, i =1,.6 are jointly null. Also, we conclude that income per

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Heidary &amp; Riazi

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Mediterranean Center of Social and Educational Research

Mediterranean Journal of Social Sciences

Significant differences between males and females p < 0.05

Year Typhoid Dysentery Diarrhea Cholera

, i =1,.6 are jointly null. Also, we conclude that income per

You might also like

Heidary & Riazi

Heidary & Riazi

Heidary & Riazi