doğuş üni̇versi̇tesi̇ dergi̇si̇

Transcription

DOĞUŞ ÜNİVERSİTESİ DERGİSİ
DOĞUŞ UNIVERSITY JOURNAL
Altı ayda bir yayımlanır / Published bi-annually. ISSN 1302-6739
Yayın Kurulu Başkanı / Editorial Board President
A.Ferit KONAR, Doğuş Üniversitesi Rektör Yardımcısı
Editörler / Editors:
İskender HİKMET
Elif ÇEPNİ
Sönmez ÇELİK
Yayın Kurulu / Editorial Board:
Erol Eren
Gönül Y. ERDOĞAN
Mehmet DEĞİRMENCİ
Gülsen KAHRAMAN
Ali DÖNMEZ
Gülşen Sayın TEKER
Reza ZIARATI
Bu Sayının Hakem Kurulu / Advisory Board for This Issue:
Prof.Dr. Erol EREN
Prof.Dr. Uçkun GERAY
Prof.Dr. Alptekin GÜNEL
Prof.Dr. Ertugrul TAÇGIN
Prof.Dr. Aslı TEKİNAY
Doç.Dr. Uğur ÖZGÖKER
Y.Doç.Dr. Christopher T.
CAIRNEY
Y.Doç.Dr. Elif ÇEPNİ
Y.Doç.Dr. Ekrem DUMAN
Y.Doç.Dr. Erdoğan KOÇ
Y.Doç.Dr. Bülent NOMER
Y.Doç.Dr Gülşen S. TEKER
Y.Doç.Dr. Cemal ZEHİR
Y.Doç.Dr. Cengiz YILMAZ
Yayın Sekreteri / Secretary
Şebnem Günendi
Doğuş Üniversitesi Dergisi (ISSN 1302-6739), Doğuş Üniversitesi’nin yayın organıdır.
Çeşitli konularda orijinal yazıların yayımlandığı Doğuş Üniversitesi Dergisi hakemli bir
dergidir ve yılda iki kez Ocak ve Temmuz aylarında yayımlanır. Dergide yayımlanan
yazılar yazar soyadına göre sıralanır. Yazılarda belirtilen düşünce ve görüşlerden
yazar(lar)ı sorumludur. Yayımlanmayan yazılar iade edilmez.
Doğuş University Journal is a publication of Doğuş University. It is a peer-reviewed biannual journal that publishes original articles on various subjects. The articles are
presented in the journal in alphabetical order by author surnames. Only the author(s) is
(are) responsible for the opinions and views stated in the articles. Un-published articles
are not returned to the authors.
Yönetim Yeri / Managing Office: Zeamet Sokak, No: 21 Acıbadem 81010 Kadıköy,
İstanbul.
Tel. / Telephone: (0216) 327 11 04 Faks / Fax: (0216) 327 96 31
E-Posta / E-mail: journal@dogus.edu.tr
Web Adresi / Web Address: http://www1.dogus.edu.tr/dogustru/journal
Lebib Yalkın Yayımları ve Basım İşleri A.Ş. Tel : (0212) 269 64 48
Doğuş Üniversitesi Dergisi, 2002/6, 1-11
ÜNİVERSİTELİ GENÇLERDE MESLEKİ TERCİHLER VE
GİRİŞİMCİLİK EĞİLİMLERİ
Kahraman ARSLAN
Haliç Üniversitesi, İşletme Fakültesi
ÖZET : Çağdaş uygarlõğõn gelişmesinde girişimcilik unsuru hemen her dönemde
çok önemli bir işleve ve yere sahip olmuştur. Adõna bilgi toplumu veya iletişim
toplumu denilen 2000’li yõllarda ise girişimci ve girişimciliğin öneminin bugüne
kadar olduğundan çok daha fazla artacağõ anlaşõlmaktadõr.
Gelişmiş toplumlarda yüksek öğrenim görmüş gençlere “eğitilmeye hazõr hale
gelmiş kişiler” olarak bakõlmaktadõr. Diğer toplumlara nazaran daha girişimci
olduğu kabul edilen Türk insanõna da, özellikle üniversiteye adõmõnõ atan bir
öğrenciye de “girişimci adayõ” gözü ile bakmak gerekmektedir.
Girişimcilik ruhu genetik olarak varolabileceği gibi aile, çevre, eğitim, gelir vs. gibi
çeşitli unsurlarõn da girişimcilik ruhunun gelişmesinde çok önemli etkenler olduğu
kabul edilmektedir. Bu çalõşmada, Haliç Üniversitesi öğrencilerinin girişimcilik
eğilimlerinin oluşmasõnda ve mesleki tercihlerinde fiziksel, sosyal ve ekonomik
çevrenin rolü incelenmeye çalõşõlmõş ve bu amaçla kapsamlõ bir anket yapõlarak
değerlendirilmiştir.
Anahtar kelimeler : Girişimcilik, Eğitim, Meslek
SUMMARY : Enterpreneurship has always had a significant role in the
development of the modern civilization. Its significance is expected to grow more in
this age which is called as the age of information or communication.
Developed societies consider university graduates as the “individuals who became
ready for education”. In Turkey, where the people are said to have more
enterpreneurship characteristics, each individual who starts university education
should be considered as a candidate enterpreneur.
Enterpreneurship spirit may be present genetically or may be developed by time due
to the factors such as family, environment, education and income. In this article, the
roles of physical, social and economic environment on the formation of
enterpreneurship tendencies and professional preferences have been analysed based
on a detailed survey.
Keywords : Enterpreneurship, Education, Profession
1. GİRİŞ
Çağdaş uygarlõğõn gelişmesinde girişimcilik unsuru hemen her dönemde çok önemli
bir işleve ve yere sahip olmuştur. Son yõllarda ise daha da önem kazanmõş ve
ekonomik kalkõnma, istihdam yaratma ve sosyal gelişmenin temel faktörü olarak
değerlendirilmeye başlanmõştõr. İnsanlõk 21. yüzyõlda yepyeni bir dünyaya adõmõnõ
2
Kahraman ARSLAN
atacaktõr. Adõna “bilgi toplumu” veya “iletişim toplumu” denilen bu yeni dünyada
insanoğlunun ekonomik değerler yaratma kaynağõ ve yeteneği, fiziki gücünden çõkõp
tamamen beyninde toplanmõştõr (Erkan, 1993 : 111).
Bu yeni dönemde bilim ve teknolojide yaşanan hõzlõ gelişmeler, toplumlarõn yapõsõnõ
da hõzla değiştirirken, bunun bir parçasõ olarak girişimcinin ve girişimciliğin
ekonomik değerini ve toplumdaki önemini de artõrmõştõr. Bunun bir yansõmasõ
olarak bireye ve bireysel yeteneğe dayalõ girişimcilik ön plana çõkmõş ve insanõn
entelektüel üretkenlik kabiliyeti önem kazanmõştõr. Bu kabiliyetin ürünleri olan
sanat, bilim ve ekonomik uygulamalar açõsõndan büyük önem arzeden girişimciliğin,
bilgi toplumunda altõn çağõnõ yaşamasõ beklenmektedir.
Klasik anlamda girişimci, daha çok kendi işini kuran, çeşitli üretim faktörlerini bir
araya getirerek ve risk üstlenerek üretim sürecinde bulunan ve bunun sonucunda da
kâr elde etmeyi amaçlayan kişi olarak tanõmlanmaktaydõ. (Emsen, 1996 : 154).
Günümüzde ise girişimcilik, yüksek düzeyde yaratõcõlõk kullanõlarak ortaya
çõkarõlabilecek daha üstün durumlara varmak için bir “y ö n t e m” olarak
algõlanmaktadõr (Titiz, 1999 : 11).
Bir diğer tanõma göre girişimcilik; yaşadõğõmõz çevrenin yarattõğõ fõrsatlarõ sezme, o
sezgilerden düşler üretme, düşleri projelere dönüştürme, projeleri yaşama taşõma ve
zenginlik üreterek insan yaşamõnõ kolaylaştõrma becerisine sahip olmaktõr (Bozkurt,
1996 : 5).
Ayrõca girişimci, bir ekonomik faaliyeti gerçekleştirip yönetirken, rakiplerine
üstünlük sağlayabilmek için sürekli olarak daha akõlcõ ve verimli yeniliklere
yönelmek zorundadõr ve bunun sonucu olarak;
-
Üretim ve ticari ilişkilerde rasyonelliği sağlama,
Yeni örgütlenme biçimleri ve yeni teknolojileri uygulama,
Yeni ürünleri geliştirme ve piyasaya sürme,
Yeni pazarlara yönelme ve
Daha büyük sermayeyi harekete geçirme,
gibi önemli ve zor görevleri üstlenebilen kişidir (Şenocak, 1992 : 181).
Yakõn zamana kadar, girişimcilikte eğitimin ve bilginin önemi kabul edilmekle
birlikte bir işletme yönetimini belirleyen unsurlarõn ağõrlõğõ şu şekilde sõralanõyordu :
-
Akademik ve teknik bilgi
Pratik bilgi
Doğuştan ve sonradan kazanõlan
kişisel özellikler
: %30
: %34
: %36
Bilgi toplumuna geçiş, bu oranlarõ birincisi lehine değiştirmiştir. Bu yüzden, bilgi
toplumundaki gelişmelerden etkilenen 21. yüzyõl girişimciliği “bilişimci
girişimcilik” olarak tanõmlanmaktadõr (Şenocak, 1992 : 186). Buna ilaveten
gelişmiş toplumlarda yüksek öğrenim görmüş gençlere “eğitilmeye hazõr hale
gelmiş” kişiler olarak bakõlmakta ve eğitilmiş gençlerin, girişimcilik açõsõndan
çeşitli avantajlara sahip olduğu vurgulanmaktadõr.
Üniversiteli Gençlerde Mesleki Tercihler Ve Girişimcilik Eğilimleri
3
Diğer toplumlarla karşõlaştõrõldõğõnda Türk insanõnõn daha girişimci olduğu, bu
konularda araştõrma yapan yabancõ bilim adamlarõ tarafõndan da kabul edilmektedir.
Bu nedenle ülkemizde de özellikle üniversiteye adõmõnõ atan her öğrenciye
“girişimci adayõ” gözü ile bakmak ve onlarõ içinde yaşadõklarõ çevrenin çeşitli
konulardaki potansiyellerinin farkõna varabileceği, sorunlarõ birer fõrsat gibi
değerlendirebilecekleri bilgi ve becerilerle donatmak, yaratõcõlõğõ bastõrõlmayõp
özendirilmiş insanlar olarak yetişmelerini sağlamak büyük önem arzetmektedir
(Titiz, 1999 : 218).
Yukarõdaki açõklamalardan anlaşõlacağõ üzere girişimcilik aslõnda sosyo demografik,
ekonomik ve psikolojik faktörlerin karşõlõklõ etkilediği bir bileşik olarak karşõmõza
çõkmaktadõr. Girişimcilikle ilgili çeşitli ölçütler, dönem ve ülkelere göre ne denli
değişirse değişsin, kuramsal analizler girişimci kişiliğin oluşmasõnda ekonomik,
sosyolojik ve psikolojik faktörlerin her birinin farklõ ağõrlõklarda da olsa
etkileyiciliğinde hemfikir olmuşlardõr.
Girişimcinin içinde yetiştiği ve yer aldõğõ ekonomik çevre onun “ekonomik
şartlarõnõ”; aile yapõsõ, aile kökeni, eğitimi, yaşõ, vs. onun “sosyolojik şartlarõnõ” ve
nihayet kendisine ilişkin öznel algõsõ, işini sevmesi, iş disiplini vs. özellikleri de
“psikolojik şartlarõ”nõ oluşturmakta ve girişimcilik bu üç öğenin çeşitli
varyasyonlarõnõn bir sonucu olarak biçimlenmektedir (Bahadõr, 1996 : 44).
Girişimcilik ruhu kişilerde genetik olarak varolabileceği gibi aile, çevre, eğitim
durumu vs. gibi çeşitli unsurlarõn girişimcilik ruhunun gelişmesinde çok önemli
etkenler olduğu kabul edilmektedir. Bu çalõşmada, yukarõdaki tanõmlar ve felsefi
bakõşlar çerçevesinde Haliç Üniversitesi öğrencilerinin girişimcilik eğilimleri ve
mesleki tercihlerinde fiziksel, sosyal ve ekonomik çevrenin rolü incelenmeye
çalõşõlmõş ve bu amaçla kapsamlõ bir anket uygulamasõ yapõlmõştõr.
2. ARAŞTIRMANIN KONUSU, AMACI VE KAPSAMI
Araştõrmanõn konusu; ekonomik kalkõnma, istihdam yaratma ve sosyal gelişmenin
temel faktörü olarak kabul edilen “girişimcilik” eğiliminin üniversite gençliği
açõsõndan çeşitli yönleri ile ele alõnmasõ ve incelenmesidir.
Mesleki tercihlerin şekillenmeye başladõğõ ve kariyer planlamasõ yapõldõğõ bir
dönemde Haliç Üniversitesi öğrencilerinin girişimcilik eğilimlerinin oluşmasõnda
aile, cinsiyet, doğum yeri, ailedeki çocuk sayõsõ, aile reisinin mesleği, eğitim ve gelir
seviyesi gibi çeşitli unsurlarõn ne derecede etkin olduğunun ortaya çõkarõlmasõ
amaçlanmõştõr.
Bu nedenle araştõrma kapsamõ Haliç Üniversitesi öğrencileri ile sõnõrlõ tutulmuştur.
Bu sõnõrlõlõk, bir eksiklik olarak kabul edilebilir. Ancak, bu yöndeki araştõrmalarõn
diğer üniversiteleri de kapsayacak bir çalõşma için zemin hazõrlamasõ açõsõndan
önemli olacağõ düşünülmelidir.
3. VERİ KAYNAKLARI VE YÖNTEM
Çalõşmada, uygulamalõ araştõrmalarda kullanõlan yüzyüze anket yöntemi
uygulanmõştõr.
4
Kahraman ARSLAN
Ülkemizin içinde bulunduğu ekonomik durum, istihdam sorunlarõ ve bunlara bağlõ
olarak gelişen sosyal sorunlar gözönüne alõndõğõnda, bu sorunlarõn çözümünde
önemli ölçüde rol almasõ beklenen üniversiteli gençlerden Haliç Üniversitesi
öğrencileri ana kitleyi oluşturmuştur.
Buna göre Ocak 2002 ayõ içinde toplam 200 öğrenci ile anket yapõlmõş ve bu anket
formlarõndan 182 adedinin değerlendirmeye alõnmasõ uygun bulunmuştur. Elde
edilen veriler çeşitli yönleri ile analize tabi tutulmuş ve analiz sonuçlarõ
tablolaştõrõlarak yorumlanmõştõr.
4. ARAŞTIRMANIN VARSAYIMLARI
Araştõrmacõlar, girişimci ruha sahip kişilerin klasik yönetici ve genel halk tipinden
farklõ özelliklere sahip olduklarõnõ ve bu özelliklerini hayatõn katõ gerçeklerinin
yanõsõra ailelerinin etkileri ve öğrenim hayatlarõ boyunca kazandõklarõ veya
kazanamadõklarõ bilgi ve becerilerin dayattõğõ koşullara bağlõ olarak elde ettiklerini
ileri sürmektedirler.
Konu ile ilgili araştõrmalarda ortaya konulan girişimcilik kavramõ ile ilgili teorik
bilgiler, analizler ve girişimci tipolojileri göz önünde tutularak araştõrmanõn
varsayõmlarõ aşağõdaki şekilde saptanmõştõr.
Birinci varsayõm; Girişimcilik eğilimi genelde aileden devralõnmaktadõr. Ailenin
etkisini ise sosyal ve ekonomik süreçler belirlemektedir. Bu kapsamda ailenin
yapõsõ, babanõn mesleği, eğitim ve gelir seviyesi girişimcilik eğiliminin oluşumunda
etkin olmaktadõr. Çünkü eğitimli, meslek sahibi ve yüksek gelir sahibi olan baba,
çocuklarõnõn da eğitimli olmasõna imkan sağlayacak ve çocuk, girişimcilik için
gerekli bilgi ve donanõma sahip olacaktõr (Emsen, 1996 : 156).
İkinci varsayõm; Girişimcilik kavramõnõn temelinde tuttuğunu koparmak, ataklõk,
cesaret, özgüven, risk alma vb. yüklemlerle erkeksi bir imaj yatmaktadõr. Bu yüzden
cinsiyet faktörünün girişimcilik eğilimi üzerinde önemli etkisinin olmasõ
beklenmektedir. Her ne kadar kadõnlarõn çalõşma hayatõna girmesi ile birlikte “iş
kadõnõ” kavramõ, literatür ve günlük kullanõmda girişimci “işadamõ” tanõmõna
tekabül ettirilse de erkek çocuklarõn yetiştirilme tarzõ itibariyle daha farklõ olmasõ,
onlarda girişimcilik eğiliminin daha yüksek olmasõ beklentisine yol açmaktadõr.
Üçüncü varsayõm; Kentleşme, insanlarõ çeşitli etkenlerle değişik iş alanlarõna
yöneltmekte, değişik ülkelerin ve bölgelerin insanlarõnõ bir araya getirerek karşõlõklõ
bilgi ve görgü alõşverişi, daha üst bir teknolojiye geçişi hõzlandõran kaldõraç etkisi ile
girişimcilik için ilginç ve elverişli bir ortam yaratmaktadõr. Bu nedenle kõrsal
kesimde doğan ve yetişen gençlere nazaran büyük kentlerde yetişenlerde kendi işini
kurma eğiliminin daha yüksek olmasõ beklenmektedir.
Dördüncü varsayõm; Girişimciler genellikle kendi bilgi-tecrübe ve sermayesine
güvenmektedir. Dolaysõyla ailesinin gelir seviyesi düşük olan gençlerin kendilerine
sürekli olarak “güvence” arama içgüdüsüyle hareket etmeleri ve böylece sabit ve
düzenli bir işte, genellikle de kamu sektöründe çalõşmak istemeleri girişimcilik
eğilimlerini azaltan bir faktör olmaktadõr.
5
5. ANKET SONUÇLARININ DEĞERLENDİRİLMESİ
Anket çalõşmalarõnõn özelliği, yapõldõğõ yer ve zaman itibariyle mevcut durumun
fotoğrafõnõ çekmesi, yani statik bir analiz niteliği taşõmasõdõr. Bu araştõrmada ana
kitleyi teşkil eden Haliç Üniversitesi öğrencilerinin mesleki eğilimleri ve buna bağlõ
olarak “iş bekleyen mi yoksa iş yaratan mõ” konumunda olup olmadõklarõ, yani
girişimcilik ruhuna sahip olup olmadõklarõ ortaya konulmaya çalõşõlmõştõr (Emsen,
1996 : 157).
Araştõrma kapsamõnda anket yapõlan örnek kitlenin genel özellikleri şu şekilde
saptanmõştõr :
•
•
•
•
•
•
•
Cinsiyet açõsõndan örnek kitlenin %62,6’sõ (114 kişi) erkek, %37,4’ü (68
kişi) kõz öğrencilerden oluşmaktadõr.
Öğrencilerin yaş gruplarõ itibariyle dağõlõmõnda 22 yaş ve altõndakiler %70
(128), 23 yaş ve üzerindekiler %30 (54)’dur.
Mezun olduklarõ lise türü açõsõndan %46 (84) klasik lise, %13 (24)
Anadolu Lisesi, %14 (26) İmam Hatip ve Ticaret Lisesi, %26 (48) ‘sõ ise
diğer lise mezunudur.
Aile gelirinin dağõlõmõnda 300 milyon TL ve daha az gelire sahip olanlar
%10,4 (19), 301-500 milyon TL olanlar %14,9 (27), 501-750 milyon TL
olanlar %22,5 (41) ve 750 milyon TL ve üzeri %52,2 (95) dir.
Örnek kitlenin %15,9’u (29) tek çocuklu, %44,5’i (81) iki çocuklu,
%20,3’ü (37) üç çocuklu, %11,0’õ (20) dört çocuklu, %8,3’ü (15) beş ve
daha fazla çocuklu ailelere mensuptur.
Ana-babasõnõn eğitim durumu açõsõndan bakõldõğõnda annenin eğitim
seviyesi ilköğretim %37,9 (60), Lise %36,3 (66) ve üniversite %25,8 (47).
Babanõn eğitim durumunda ise ilköğretim %22,5 (41), lise %28,6 (52),
üniversite %48,9 (89) olarak saptanmõştõr.
Babanõn mesleği açõsõndan dağõlõmda kamu çalõşanõ %14,3 (26), özel
sektör çalõşanõ %22,5 (41), kendi nam ve hesabõna çalõşanlar %45,6 (83),
emekli olanlar %17,6 (32) dir.
Araştõrma kapsamõna alõnan öğrencilere yöneltilen “üniversiteyi bitirdikten sonraki
mesleki idealiniz nedir?” sorusuna verilen cevaplar, sekiz farklõ seçenek için en
önemliden en önemsize doğru sõralanarak aşağõdaki tabloda sunulmuştur.
Tablo 1. Fakülteyi Bitirdikten Sonraki Mesleki İdealler
Önem
Devlet
Derecesi Memurluğu
1
2
3
4
5
6
7
8
Toplam
6
5
5
12
11
30
37
30
136
Baba
Özel
AkadeMesleğini
Sektörde
misyen
Sürdürme
Çalõşma
47
15
14
40
18
30
34
30
12
18
30
14
13
20
8
10
18
17
3
10
24
5
17
165
146
136
Bankacõ Muhasebeci
7
21
25
20
28
21
15
4
141
6
8
29
30
32
17
21
8
151
Kendi
Diğer
İşini
Kurma
83
4
31
5
18
2
17
6
8
13
7
8
2
14
1
34
167
86
6
Kahraman ARSLAN
Mesleki idealler açõsõndan birinci derecede önceliği kendi işini kurma (%45,6),
ikinci derecede önceliği özel sektörde çalõşma (%25,8), üçüncü derecede önceliği
akademisyenlik (%8), dördüncü derecede önceliği ise baba mesleğini sürdürme
(%7,6) almõştõr.
Mesleki ideallere bağlõ olarak meslek seçiminde hangi faktörlerin etkili olduğu da
araştõrõlmõş ve elde edilen sonuçlar Tablo 2’de gösterilmiştir.
Tablo 2. Mesleki Tercihlerin Oluşumunda Etkin Olan Faktörler
Önem
Derecesi
Kâr
Elde
Etme
İsteği
Bağõmsõz
Çalõşma
İsteği
1
2
3
4
5
6
7
8
Toplam
70
32
26
11
7
8
8
2
164
55
70
27
7
11
1
2
8
181
SabitKişisel Yoğun Bir
Risksiz
Tatmin Tempoda
Gelire
Sağlama Çalõşma
Ulaşma
İsteği
İsteği
İsteği
36
1
4
33
8
12
41
27
25
29
27
41
6
28
18
10
24
26
2
18
19
5
13
13
162
146
158
Aile
Belirli ve
Grup
Çalõşmasõ Düzenli Baskõsõndan
Çalõşma Kurtulma
Yapma
İsteği
İsteği
İsteği
5
8
9
22
11
38
36
17
146
7
11
12
12
20
23
18
30
133
4
5
2
7
8
5
6
16
53
Mesleki tercihlerin oluşumunda “kâr elde etme isteği” birinci derecede önceliği,
“bağõmsõz çalõşma isteği” ise ikinci derecede önceliği almõştõr. Her iki seçeneğin
yüksek orandaki tercihi, öğrencilerin girişimcilik eğilimleri ile doğrudan
ilişkilendirilebilir. Girişimcilik eğiliminin bir yansõmasõ olarak kabul edilebilecek bu
oran %68,7 gibi oldukça yüksek bulunmaktadõr.
Araştõrmada, cinsiyet ile mesleki tercihler arasõnda önemli bir farklõlõğõn olmasõ
beklenmiştir. İkinci varsayõmda belirtildiği üzere, toplumun atfettiği role istinaden
kõz çocuklarõna göre erkek çocuklarda girişimcilik ruhunun, diğer bir ifade ile kendi
işini kurma eğiliminin daha yüksek olmasõ beklenir. Aşağõdaki tabloda bu hipotez
eşliğinde sözkonusu beklentinin gerçekleşip gerçekleşmediği ortaya konulmaya
çalõşõlmõştõr (Emsen, 1996 : 160).
Tablo 3. Cinsiyet ile Mesleki Tercihler Arasõndaki İlişkiler
Önem
Derecesi
Devlet
Memuru
Bankacõ
Akademisyen
Baba
Özel
Mesleğini Sektörde
Sürdürme Çalõşma
Muhasebeci
Kendi
İşini
Kurma
Diğer
Kõz Erkek Kõz Erkek Kõz Erkek Kõz Erkek Kõz Erkek Kõz Erkek Kõz Erkek Kõz Erkek
1
2
3
4
5
6
7
8
Toplam
1
4
3
6
3
13
17
7
54
4
1
2
6
8
17
22
22
82
4
7
8
7
11
9
5
1
52
2
15
15
15
20
11
11
3
92
10
6
16
9
7
6
1
2
57
4
10
13
22
14
13
8
4
88
3
6
4
5
2
7
12
8
47
12
24
8
7
6
10
9
8
84
26
15
6
5
3
3
1
1
58
24
21
21
15
9
7
3
100
1
4
8
9
12
2
11
3
50
1
5
23
21
19
12
9
4
94
22
18
7
9
5
2
63
65
19
9
11
3
4
1
1
113
2
2
1
3
6
4
5
16
39
1
3
3
3
12
10
10
23
65
7
Cinsiyet açõsõndan mesleki eğilim ve girişimcilik ilişkisi incelendiğinde erkek
öğrencilerin birinci önceliği “kendi işini kurma” ya verdiği, kõz öğrencilerin ise özel
sektörde bir iş bulup çalõşmayõ tercih ettiği görülmektedir.
Mesleki eğilimde ikinci derecede önceliği erkek öğrencilerde “özel sektörde
çalõşma”, kõz öğrencilerde ise “kendi işini kurma” oluşturmaktadõr. Üçüncü derecede
önem verilen meslek ise kõz öğrencilerde “akademisyen”, erkek öğrencilerde “baba
mesleğini sürdürme” şeklinde ortaya çõkmõştõr.
Genel olarak ilk iki mesleki tercih dõşõnda diğer mesleklere yöneliş açõsõndan
cinsiyet faktörünün önemli olmadõğõ görülmektedir. Ancak ilk iki tercih veya tercih
edenlerin oranlarõ dikkate alõndõğõnda erkek öğrencilerde girişimcilik eğiliminin
yüksek olacağõna ilişkin beklenti doğrulanmõştõr. 21. yy’da meslek edinme ve eğitim
fõrsatlarõ konusunda kadõn erkek eşitliği imajõ her ne kadar değişmiş görünse de
istatistikler yine de kadõnlarõn eğitimde ve meslek seçiminde “kadõn işleri” olarak
adlandõrõlan kategorilerde yoğunlaştõğõnõ göstermektedir (Tes-Ar, 1993 : 225).
Nitekim bu çalõşmada da cinsiyet farklõlõğõnõn önemli olmayacağõ düşünülen
akademisyenlik ve bankacõlõk mesleğini tercihte, kõz öğrencilerin sayõsõnõn erkek
öğrencilere nazaran bu meslekleri daha yüksek oranda tercih ettikleri görülmüştür.
Bununla beraber özellikle son yõllarda kadõnlarõn iş hayatõnda daha etkin biçimde
yer almasõ ve girişimciliğe ilgi duymalarõ sonucunda “iş kadõnõ” kavramõ literatür ve
günlük kullanõmda girişimci işadamõ tanõmõna karşõlõk olarak sõkça kullanõlmaktadõr.
Bu nedenle, mesleki eğilim ve girişimcilik ilişkisi cinsiyet açõsõndan ele alõndõğõnda
geçmişe değil, geleceğe bakmak daha doğru olacaktõr. Çünkü, önümüzdeki
dönemlerde hoşgörü, uzlaşma, şefkat, sabõr ve paylaşmaya hazõr olma gibi
kadõnlarõn ön plana çõkan özellikleri, kadõn girişimcilerin daha güçlü ve başarõlõ
olmalarõnõ sağlayacak temel unsurlar olacaktõr (Tes-Ar, 1993 : 266).
Araştõrmada dikkate alõnan bir diğer unsur doğum yeri ve yaşanõlan yer, yani kõrkent ayõrõmõ ile mesleki tercihler arasõndaki ilişkinin ortaya konulmasõdõr.
Girişimcilik eğiliminin kentsel alanda doğup büyüyenlerde kõrsal kesimde doğan ve
yaşayanlara nazaran daha yüksek olacağõ beklentisinden hareketle, kentsel alanlarda
doğan ve yaşayan öğrencilerde girişimcilik eğiliminin daha yüksek olmasõ beklenir
(Emsen, 1996 : 164).
Ancak, anket yapõlan öğrencilerin büyük çoğunluğunun, Haliç Üniversitesi’nin
bulunduğu İstanbul ilinde doğup büyüdükleri ve bu nedenle örnek kitlenin çok
büyük bir bölümünü teşkil ettikleri için kõr-kent ayõrõmõnda bir mukayese yapmanõn
anlamlõ olmayacağõ sonucuna ulaşõlmõştõr. Ayrõca, doğum yeri belirtilirken sadece il
adõ verildiğinden tüm öğrecilerin kentte doğduğu gibi bir sonuç ortaya çõkmõş ve kõrkent ayrõmõnõ gösteren tablo ortaya konulamamõştõr.
Öğrencilerin ailelerinin gelir seviyeleri ile girişimcilik eğilimleri arasõndaki ilişkinin
ortaya konulmasõ amacõyla sorulan soruya verilen cevaplarõn dağõlõmõ Tablo 4’de
verilmiştir.
8
Kahraman ARSLAN
Tablo 4. Aile Gelir Seviyesi ile Mesleki Tercihler Arasõndaki İlişkiler
Kendi
İşini
Kurma
750 750+ 750 750+ 750 750+ 750 750+ 750 750+
1
3
3
6
1
10
6
2
31 54
2
2
3
1
4
2
6
18 24
3
5
2
1
4
8
6
9
4 12 15
4
8
5
15 10 11
3
10
3 17 14
5
15 12 13 12 10
6
12
5
8
5
6
17 13 11 9
13
6
10
7
7
3
7
12
9
7 12 12
7
8
14 22 15
8
18 11
5 16
4
5 17 14
Toplam 78 57 61 65 68
40
57 38 132 144
Önem
Derecesi
Devlet
Memuru
Bankacõ
Akademis- Muhaseyen
beci
Özel
Baba
Sektörde Mesleğini
Diğer
Çalõşma Sürdürme
750 750+ 750 750+ 750 750+
27 20
4
11
2
2
21 31
13
16
3
18 13
9
7
4
6
10
6
4
9
3
7
18 14
14
17
1
5
12 22
4
10
3
3
11
8
5
7
2
6
20
8
7
8
8 13
137 122 60
85 26 42
Aile gelir seviyesi yüksek gelir grubunda yer alan ailelerin çocuklarõnda girişimcilik
eğiliminin daha yüksek olmasõ beklenir. Aile gelir seviyesi 750 milyon TL ve üzeri
olan öğrencilerin toplam örnek kitle içindeki payõ %53,3 (97)’dir. Gelir seviyesi bu
grupta olanlarõn %55,6 (54)’sõ kendi işini kurma eğilimindedir. Bu oranõn yüksek
olmasõ, gelir seviyesi ile girişimcilik arasõnda beklenen pozitif ilişkiyi onaylar
niteliktedir (Emsen, 1996 : 167).
Gelir seviyesi 750 milyon TL’nin altõnda olanlarda özel sektörde çalõşma ve sabitdüzenli bir gelire sahip olma arzusunun ağõr basmasõ ise, ailede maddi endişelerin
giderilememesinin bir sonucu olarak görülebilir.
Ailenin sahip olduğu çocuk sayõsõ bakõmõndan çok çocuklu ailelerde çocuk
yetiştirme ve çocuğa gelecek hazõrlama imkanlarõ daralmakta ve çeşitli güçlüklerle
karşõlaşõldõğõ bilinmektedir. Çocuk sayõsõnõn fazla olduğu ailelerde sağlam bir
gelecek beklentisi, genellikle kamudan iş beklentisi şeklinde kendisini
göstermektedir.
Bu düşünceden hareketle üç ve daha fazla çocuklu ailelere mensup öğrencilerde
girişimcilik eğiliminin yüksek olmayacağõ varsayõlmõştõr. Buna karşõlõk az çocuklu
(bir veya iki) ailelerde daha iyi eğitim alma ve geleceğe hazõrlama olanaklarõnõn
yüksek olacağõ beklentisinden hareketle az çocuklu aile bireylerinde girişimcilik
eğiliminin de yüksek olmasõ beklenmektedir (Emsen, 1996 : 168).
Ailenin az veya çok çocuklu olmasõ ile mesleki tercihler arasõndaki ilişkiyi gösteren
bilgiler Tablo 5’te verilmiştir.
9
Tablo 5. Ailedeki Çocuk Sayõsõ ile Mesleki Tercihler Arasõndaki İlişkiler
Devlet
Önem
Bankacõ
Derecesi Memuru
Akademisyen
Muhasebeci
Kendi
İşini
Kurma
1-2
2
3+
13
1-2
54
Baba
Özel
Mesleğini
Diğer
Sektörde
SürdürÇalõşma
me
3+ 1-2 3+ 1-2 3+ 1-2 3+
30 24
5
8
14
2
7
1
1-2
2
3+
2
1-2
4
3+
3
1-2
4
3+
8
2
2
7
6
11
3
10
5
9
23
12
10
15
2
11
3
8
3
4
9
-
5
1
12
6
13
14
11
20
26
4
9
2
4
4
3
11
2
7
6
11
3
19
16
15
12
23
3
10
1
6
5
6
14
5
17
3
18
8
9
12
8
26
32
7
2
2
-
6
1
11
1
21
4
21
2
14
27
19
14
20
5
8
3
4
7
8
17
7
12
5
8
2
4
18
15
22
19
6
3
1
2
9
14
8
9
6
2
5
4
9
6
13
17
13
5
-
2
3
Toplam
35
77
27
81
30
97
34
94
181 119 142 153
40
57
16
34
Ailelerden 1-2 çocuklu olanlarõn oranõ %55 (100), üç ve daha fazla çocuklu
olanlarõn oranõ ise %45 (82) dir. Az çocuklu aile olarak nitelendirilen 1-2 çocuklu
aile üyesi öğrencilerde birinci derecede öncelikli olarak kendi işini kurma eğilimi %
54 (54), çok çocuklu ailelerin üyesi olan öğrenciler arasõnda birinci derecede
öncelikli olarak kendi işini kurma eğilimi ise %36,6 (30) olarak bulunmuştur.
Girişimciliğin oluşmasõnda önemli unsurlardan biri de baba mesleğini sürdürme,
yani mesleğin bir bakõma babadan miras olarak devir alõnmasõdõr. Bu nedenle
babanõn kendi nam ve hesabõna çalõşmasõ ile kamu veya özel sektörde ücretli olarak
çalõşõyor (emeklilik dahil) olmasõ halinde ankete katõlan öğrencilerin girişimcilik ya
da kendi işini kurma eğilimi arasõndaki ilişkinin farklõ olacağõ düşünülmüştür.
Toplam örnek kitle içinde babasõ ücretle çalõşan ve emekli olanlarõn oranõ %56
(102), babasõnõn kendi işinde kendi nam ve hesabõna çalõştõğõnõ beyan edenlerin
oranõ ise %44 (80) dür. Babasõ kendi işinde bağõmsõz olarak çalõşan öğrencilerin
%52,5 (42)’i kendi işini kurma eğiliminde iken babasõ ücretli çalõşan veya emekli
olan öğrencilerde bu oran %58,8 (60)’dir. Yani, kendi işini kurma ya da girişimcilik
eğilimi, beklenenin aksine babanõn bağõmsõz olarak kendi nam ve hesabõna çalõşmasõ
ile yakõndan ilişkili değildir. Bu durum, özellikle günümüzde kamu veya özel
sektörde sabit ücretle iş bulmanõn zorluklarõ dikkate alõndõğõnda, baba mesleği ne
olursa olsun kendi işini kurma isteğinin bir nevi çõkõş yolu gibi göründüğü
yönündeki düşünceyi doğrulamaktadõr.
Baba mesleğinin yanõ sõra, babalarõn eğitim seviyesi ile çocuğunun meslek tercihi
arasõndaki ilişki düzeyi de incelenmiştir. Zira, girişimcilik ruhunun oluşmasõ ve
gelişmesinde, babanõn eğitim durumunun etkili olmasõ beklenmektedir.
Babasõnõn eğitim seviyesi lise ve altõnda bir düzeyde olan öğrencilerin toplam örnek
kitle içindeki oranõ %51 (93), üniversite mezunu olanlarõn oranõ ise %49 (89)’dur.
Anlaşõlacağõ üzere eğitim seviyesi lise ve altõnda olanlarla üniversite mezunu
olanlarõn sayõsõ hemen hemen aynõ seviyededir. Bu durum, Türkiye genelinde
istihdam edilenlerin eğitim seviyesi açõsõndan dağõlõmõna uygun bir yapõ
10
Kahraman ARSLAN
göstermemektedir. Çünkü, genelde istihdam edilen nüfus ve toplam nüfus içinde
üniversite mezunlarõnõn oranõ bir hayli düşüktür.
Eğitim seviyesi yüksek olan anne-babalarõn, çocuklarõnõn mesleki tercihlerinde daha
etkili olmalarõ ve bu yönde bilinçlenmelerine daha yüksek oranda katkõ sağlamalarõ
beklenir. Araştõrmadan elde edilen bulgulara göre babasõnõn eğitim seviyesi yüksek
olan öğrencilerde kendi işini kurma eğiliminin diğer gruba nazaran çok daha yüksek
olduğu %77,5 (141) görülmektedir. Bu durum, beklenenin tam tersi bir sonuçtur.
Zira, babanõn eğitim seviyesi yüksek olanlarda akademisyenlik, bankacõlõk,
muhasebecilik gibi fazla gelir elde etmekten çok statüsü olan mesleklere yönelmenin
daha ağõrlõklõ olmasõ beklenmekte idi. Ortaya çõkan sonuç, varsayõmla çelişkili gibi
görünmekle birlikte artõk ülkemizdeki girişimcilerin de eğitime ve eğitimli olmaya
önem verdiklerinin bir göstergesi olarak kabul edilebilir.
Bu durum, Türkiye’de girişimcilikte başarõlõ olabilmede yaygõn kabul görmüş olan
“çekirdekten yetişme”, ya da “tezgahtan yetişme” kavramõnõn yerini ikinci nesilde
daha üst düzeyde eğitimli olmaya bõrakmaya başlamasõ olarak da ifade edilebilir.
Dolaysõyla, ulaşõlan sonuçlar, girişimcilik eğilimi ile babanõn eğitimli olmasõ
arasõndaki ilişkiyi tam anlamõyla ortaya koyamamaktadõr (Emsen : 1996 : 174).
6. SONUÇ
2000’li yõllarda girişimci ve girişimciliğin önemi, bugüne kadar olduğundan çok
daha fazla artacaktõr. Bilgi toplumunda, sanayi toplumunun işçi ve işveren
şeklindeki ikili yapõsõnõn yerini, girişimciler topluluğunun alacağõ anlaşõlmaktadõr.
Bu açõdan, eğitim sistemimizin de, girişimci yetiştirme konusunu ele alõp
değerlendirmesi gerekmektedir (Ferman, 1991 : 6).
Bir ekonomik faaliyeti gerçekleştirmeye girişmek, başarõ ve başarõsõzlõk şeklinde bir
risk içermektedir. Girişimciler, başarõ yönelimlidirler. Bu sebeple iyi iş yapma,
güçlüklere karşõ koyma, yeteneklerini kullanma ve geliştirme, finansal güvenliği
sağlama ve bağõmsõz olma eğilimlerini başarõlõ olma yönünde kullanmaktadõrlar.
Dolaysõyla girişimci, başarõsõnõn ödülünü bekleyen fakat başarõsõzlõğõn riskine de
katlanmaya hazõr olan kimsedir. Ekonomik yaşamda ancak bu riski üstlenmeye hazõr
olanlar girişimci olabilirler. Girişimci riskini en aza indirmek, fakat başarõsõnõn
ödülü olan kârõ da en yüksek kõlabilmek için kendini belirli bir bilgi yükü ile
donatmak, karar ve tercihlerinde akõlcõ olmak zorundadõr.
Bu tanõm ve özellikler dikkate alõndõğõnda günümüzde sadece para veya sermaye
sahibi olmak, girişimci olmaya yetmemektedir. Girişimci, kendi bilgi ve yetenekleri
ile birlikte emek, sermaye, doğal kaynaklar ve hammaddeyi bir araya getirerek
üretim ve dağõtõm süreçlerini gerçekleştirip yöneten kişidir.
Ne var ki ülkemizde girişimcilik niteliğine sahip insanlarõmõzõn sayõsõ fazla olmadõğõ
gibi eğitilmiş insanlarõmõzõn girişimcilik konusunda çok da başarõlõ olmadõklarõ
bilinen bir gerçektir. Potansiyel girişimcilerimizi belirlemek ve onlarõ sahaya
çõkarmanõn yollarõnõ bulabilmek açõsõndan üniversite öğrencilerinin girişimcilik
eğilimlerinin saptanmasõ önem arzetmektedir.
11
Bu amaçla Haliç Üniversitesi öğrencileri arasõnda kapsamlõ bir anket çalõşmasõ
yapõlmõş ve öğrencilerin mesleki tercihleri ile girişimcilik eğilimleri araştõrõlmõştõr.
Araştõrmada, mesleki idealler açõsõndan birinci derecede önceliği “kendi işini
kurma” faktörü, dolaysõyla girişimcilik unsuru %45,6 olarak bulunmuştur. Bağõmlõ
ve düzenli bir işte çalõşma eğilimi ise %54,4 olmaktadõr. Ancak, “kâr elde etme
isteği” ile “bağõmsõz çalõşma isteği” girişimcilik eğiliminin bir yansõmasõ olarak
kabul edilebilir ki bu alternatifi birinci derecede önemli kabul edenlerin oranõ da
oldukça yüksektir (%68,7).
Cinsiyet açõsõndan, erkek öğrenciler birinci önceliği “kendi işini kurma” alternatifine
vermiş iken kõz öğrencilerin özel sektörde iş bulup çalõşmayõ tercih ettikleri
görülmüştür. Ancak hemen belirtmek gerekir ki kõz öğrencilerde de mesleki
eğilimde ikinci derecede önceliği, “kendi işini kurma” seçeneği oluşturmaktadõr. Bu
durum, girişimcilik konusunda cinsiyet ayõrõmõnõn önemini giderek yitireceğinin ve
kadõnlarõn girişimciliğe elverişli çeşitli özelliklerinden dolayõ önümüzdeki dönemde
iş hayatõnda daha önemli roller alacaklarõnõn bir göstergesi sayõlabilir.
Öğrencilerin ailelerinin gelir seviyesi ve ailedeki çocuk sayõsõnõn az oluşu ile
girişimcilik arasõndaki ilişkinin, beklenen pozitif ilişkiyi onaylar nitelikte olduğu
görülmüştür.
Girişimcilik eğiliminin, babanõn kendi işinde bağõmsõz çalõşmasõ veya sabit bir
ücretle çalõşmasõ ile yakõndan ilişkili olmadõğõ saptanmõştõr. Ayrõca, babanõn eğitim
seviyesi yüksek olanlarda, kendi işini kurma veya girişimcilik eğiliminin daha
yüksek olduğu görülmüştür. Bu sonuç, varsayõmlarla çelişkili gibi görünse de, bilgi
toplumuna geçilen bir dönemde kadõnõ ile erkeği ile girişimci adaylarõnõn eğitime
daha çok önem verdiklerini, başarõ ya da başarõsõzlõklarõn tanrõ, kader, şans vb. değil
de kendi içsel donanõm ve eylemlerine bağlõ olduğunu kavradõklarõnõ yansõtmaktadõr
(Erdal, 2001 : 4).
KAYNAKLAR
AKIN, B. (1996). “Küçük Ölçekli İşletmelerde Stratejik Planlama ve Yönetim”,
MPM Verimlilik Dergisi , Sayõ 1996/1, 43-56
BOZKURT, R. (1996). “Girişimci Profili Üzerine Değerlendirmeler”, Dünya
Gazetesi, (14 Kasõm 1996).
EMSEN, Ö. (2001). “Genç Nesilde Mesleki Eğilimler ve Girişimcilik : Ampirik Bir
Çalõşma”, MPM Verimlilik Dergisi, Sayõ 2001/1, 153-176
ERDAL, M. (2001). “Yeni Binyõlda Girişimci Eğitiminin Önemi”, TOSYÖV Girişim
Dergisi, (20 Ekim 2001), 4-5
ERKAN, H. (1993). Bilgi Toplumu ve Ekonomik Gelişme, Türkiye İş Bankasõ Kültür
Yayõnlarõ
FERMAN, M. (1991). “Girişimci Profili Üzerine Değerlendirmeler”, Dünya
Gazetesi, (14 Kasõm 1991).
ŞENOCAK, B. (1992). “2000’li Yõllarõn Girişimcilik Modeli”, 3. İzmir İktisat
Kongresi, 92 içinde, (181-186), İzmir.
TES-AR, (1993). “Türkiye’de Kadõn Girişimcilik”, Ankara : Türkiye Esnaf-Sanatkâr
ve Küçük Sanayi Araştõrma Enstitüsü
TİTİZ, T., (1999) Genç Girişimcilere Öneriler, İstanbul : İnkõlâp Kitabevi.
HISTORICAL INFLUENCES AND A MODERN
ALTERNATIVE FOR LEADERSHIP MODELS IN CENTRAL
ASIA∗
Sean Michael COX
Doğuş University, International Relations Department
ABSTRACT: The 1991 demise of the Soviet Union that led to the emancipation of
many Central Asian states, also led to a grab for power by a variety of leadership types.
Although the characteristics of leadership types in the 1990s were diverse, few followed
the pattern of Samuel Huntington’s Third Wave of authoritarian transition, whereby
authoritarian regimes were abandoned in favor of democratically elected and
democratically oriented governments. Historically, Eurasia has had little experience with
popular government. This is reflected in the general characteristics of leadership types in
the post-Soviet era, which closely follow three regional historical influences – the early
Islamic Emperors, the Mongolian Khans and the Russian Tsars (and later Soviet
leaders). This article examines the historic influences on Eurasian leadership types and
the impact of these types on the politics, societies and economies of these same states. It
will be argued that at the current stage of political development, it would ultimately
benefit the states of Central Asia to follow, at this time, the most successful Eurasian
model to date, that of Kemal Atatürk and Turkey, rather than to push for a fully
participatory democracy or sustain the post-Soviet personal dictatorships that have
prospered throughout Central Asia.
Keywords: Central Asia, democratic transition, Kemalism, leadership models.
ÖZET: Sovyetler Birliği’nin çöküşü Orta Asya’da bir çok yeni devletin ortaya
çõkmasõna ve çeşitli yönetim modellerinin oluşmasõna neden olmuştur. 1990’lar sonrasõ
yönetim modelleri çeşitlilik göstermesine rağmen bunlardan çok az bir kõsmõ Samuel
Huntington’õn otoriter rejimlerin dönüşümünde Üçüncü Dalga olarak adlandõrdõğõ yolu
izlemiştir. Bu tez, demokratik sistemler ve demokratik yollarla seçilmiş hükümetlerin
otoriter rejimlere her zaman tercih edileceğini savunmaktadõr. Ancak, tarihsel olarak
bakõldõğõnda Avrasya bölgesinde seçimle gelen hükümetlere ilişkin deneyimin çok az
olduğu görülmektedir. Bu durum Sovyetler Birliği’nin yõkõlmasõ sonrasõndaki yönetim
modellerinin özelliklerinde de gözlenmektedir. Söz konusu yönetim modelleri esasen üç
tarihsel dönemin etkilerinin sonucunda ortaya çõkmõştõr. Bunlar İslam imparatorlarõ,
Moğol Hanlarõ ve Rus Çarlarõnõn (ve daha sonraki Sovyet liderlerinin) dönemleridir. Bu
çalõşmada, Avrasya yönetim modellerinin tarihsel etkileri incelenmekte ve bunlarõn söz
konusu bölge ülkelerindeki siyasete, topluma ve ekonomik yapõlara ne şekilde yansõdõğõ
tartõşõlmaktadõr. Bu çerçevede, halihazõrdaki siyasi gelişim seviyeleri çerçevesinde söz
konusu ülkelerin, günümüze kadar görülen en başarõlõ Avrasya modeli olan Türkiye’yi
ve Kemal Atatürk’ü örnek almalarõnõn, tam katõlõmcõ demokrasiye geçiş veya Sovyetler
sonrasõ diktatörlük rejimleri alternatiflerine göre çok daha yararlõ olacağõ belirtilmektedir.
Anahtar Kelimeler: Orta Asya, demokratik dönüşüm, Kemalizm, liderlik
modelleri.
∗
This article is based on a paper presented at the 17th Middle East History and Theory
(MEHAT) Conference, University of Chicago, May, 2002.
14
Sean Michael COX
Introduction
The aftermath of the September 11, 2001 events brought a spotlight to bear on the
states of Central Asia. This light focused not just on Afghanistan, which had
become a breeding ground for terrorism and instability, but on the rest of the region,
as well. It seemed as if the West had just become aware that a region of the world
that for the most part had been controlled by the Soviet government in Moscow for
seven decades was now independent and in need of attention. This closer
examination exposed the world to the reality that few of the states in this region had
followed the pattern of Samuel Huntington’s Third Wave of democratic transition,
whereby authoritarian regimes were abandoned in favor of democratically elected
and democratically oriented governments. The increased scrutiny of Central Asia
made it painfully obvious that the democratic transition from Soviet rule, as
documented by Prof. Huntington, had not penetrated the hinterland of Eurasia
(Huntington, 1993). While this had been known by both scholars with research
interests in the area and policy makers with agendas to keep, the World Trade
Center and Pentagon attacks revealed that this lack of democratic institution
building was cause for alarm now that the restraints of bipolarity were no longer in
place.
Of the seven states that make up Central Asia (narrowly defined), five are former
Soviet Republics and all are predominantly Muslim. If the Caucasian republics are
included as well, three more newly independent states complicate the math with two
predominantly Christian countries and one more Muslim state. At the time of the
Soviet collapse, Pakistan was the only country of Central Asia with a democratically
elected government, while the other non-Soviet state, Afghanistan, was entrenched
in civil war. The Soviet collapse created a power vacuum in the remaining states
that was quickly filled by those with access to the instruments of power, namely
control of the military and government apparatuses. Those who took power
following the disintegration of the USSR established regimes that generally reflected
the historical influences on leadership roles that were common to the region,
however much they espoused doctrines of democracy. The general characteristics of
leadership types (and the resulting styles of government) in these post-Soviet states
of Eurasia closely followed three regional historical influences – those of the early
Islamic Emperors, the Mongolian Khans, and the Russian Tsars (and later Soviet
leaders), which will be discussed shortly.
Why Discuss Leadership Types?
The recent events in Afghanistan, namely the American-led efforts that displaced the
Taliban regime, have raised numerous questions about the type of leadership needed
to bring stability not only to Afghanistan but to Eurasia as a whole. The implied
assumption, of course, is that by providing these states with strong and legitimate
leadership, Eurasia can be brought into the international community as an important
contributing region, and not a part of the globe that fosters terrorism, instability and
backwardness. Add to this the more practical desire of exploiting the vast natural
resources located within a number of Central Asian states, and discussions of regime
stability and accessibility take on a greater importance.
Historical Influences And A Modern Alternative For Leadership Models In Central Asia
15
This paper argues that at the current stage of political development, it would
ultimately benefit the states of Central Asia to follow, at this time, the most
successful Eurasian leadership (and subsequent institutional) model to date, that of
Kemal Atatürk and Turkey, rather than to push for a fully participatory democracy
or sustain the post-Soviet personal dictatorships that have prospered throughout
Central Asia. By creating systems of government that develop sustained economic
growth and graduals moves towards fuller democracy, leaders in Central Asia will
encourage foreign investment and trade, modernization and economic development,
and establish an historical legacy which is often the unspoken goal of all leaders.
The first section of this article briefly recounts the current status of the Central Asian
states and their post-Soviet leadership histories. The second section examines the
historical models that have influenced leaders and leadership styles in Eurasia. The
third section considers the Kemalist model, identifying both its strengths and
weaknesses. Finally, the conclusion suggests reasons for and ways in which the
states of Central Asia can adapt the Kemalist model to their own particular systems.
Post-1991
The 1991 demise of the Soviet Union that led to the emancipation of most of the
states of Central Asia, also led to a grab for power by those with a vested interest in
maintaining power. Of the eight former republics in the region (five from Central
Asia and three from the Caucasus) all but three have the same leader as at the time
of the Soviet collapse, and of those three that differ, two have leaders (presidents in
each case) that represent the same party or authority as at the time of transition.
Only Tajikistan has had a different leader and this is due mainly to the internecine
conflict that wracked the country for five years in the mid-1990s. From Nursultan
Nazerbayev in Kazahkstan to Islam Karimov in Uzbekistan to Heydar Aliyev in
Azerbaijan, Central Asian heads of state in the post-Soviet era have for the most part
followed in the steps of a number of historic figures by establishing regimes based
on personal and military power, coercion and terror, and control of the economy and
the creation of dynastic systems of government. Following are brief political
biographies of each Eurasian state during the previous decade (see Karatnycky, et.
al., 1997; Bremmer and Taras, 1997; Brown, 1990; The CIA World Factbook,
2002; Encyclopedia Britannica, 2002 for complete cited material).
Armenia. In September of 1991, Armenian independence was approved by popular
referendum. Lev Ter-Petrosyyan, the former parliamentary chairman was elected
president with 83 percent of the vote. From 1991 until 1995, Armenia operated
under much the same form of constitution that it had inherited from the Soviet era.
In July of 1995, a new constitution was adopted, one that was highly criticized by
opposition parties for shifting power away from the legislative body to the office of
the President. That same month, elections were held for the National Assembly,
with the largest opposition party banned by the Ter-Petrosyyan controlled Central
Election Commission. Ter-Petrosyyan’s Republican Party won the greatest majority
of seats, allowing him to govern nearly unhindered until the next presidential
elections of 1998. In these elections, Ter-Petrosyyan’s ally Robert Kocharian (the
former President of Nagorno-Karabakh), was elected president with nearly 60% of
the vote. In parliamentary elections the following year, Kocharian’s Republican led
16
Sean Michael COX
Unity Bloc captured 46% of the vote. Since 1999, the Kocharian Unity Bloc has
dominated the politics of Armenia.
Azerbaijan. Azeri independence was declared in August, 1991. In September of
that year, Ayaz Mutalibov, First Party Secretary, was elected President. After
several chaotic years of political turmoil (mostly associated with NagornoKarabakh), the ouster of Mutalibov, and the reinstatement of the Supreme Soviet,
Heidar Aliyev, the former First Party Secretary purged by Mikhail Gorbachev, was
elected president in October 1993 with 98.8% of the vote. Aliyev was re-elected in
October 1998 with 78% of the popular vote. As with the previous election,
international observers declared this election to be “undemocratic.” In November
2000, Aliyev’s New Azerbaijan Party (NAP) and its allies captured 86% of the seats
in the parliament. While Aliyev remains in firm control, his age (79 years) has
lessened his authority to a certain extent.
Georgia. In the late 1980s, Georgia faced strong nationalist challenges from the
constituent components of Georgia (proper), Abkhazia, and Southern Ossetia. Most
of the smaller regions of the Soviet republic (15 total) had significant minority
populations (primarily Armenian Azeri, and Ossetian) that chose to support the
state. The largest group of the fractured Nationalist movement was led by Zviad
Gamsakhurdia, whose Round Table-Free Georgia bloc won 54% of the vote in the
parliamentary elections of October 1990. By March 1991, Georgia had declared its
independence from the Soviet Union and Gamsakhurdia was elected president in
May of the same year, with 87% of the vote. Of note is the fact that Abkhazia and
Southern Ossetia did not participate in this election. Gamsakhurdia quickly adopted
an authoritarian model of government that favored ethnic Georgians. This naturally
led to increased violence by minority groups and the eventual ouster of
Gamsakhurdia in March 1992, when power was transferred to the government of
Eduard Shevardnadze, the former Soviet foreign minister. From 1992 until 1995
Shevardnadze essentially led his country in a civil war, not cementing his hold on
power until the reported death of Gamsakhurdia in early 1994, and Shevardnadze’s
election as President in late 1995. In April 2000, Shevardnadze was returned to the
office of President with electoral support of 80%. His Citizens’ Union of Georgia
(CUG) won 42% of the seats in parliamentary elections. Since mid-2000,
Shevardnadze has managed to keep ethnic tensions below the boiling point, while at
the same time attempting to diversify the power of the government.
Kazakhstan. As with many of the former republics, Kazakhstan voted to remain in
the Soviet Union after the attempted coup against Gorbachev in August 1991.
However, as the collapse of the USSR became imminent, Kazakhstan declared
independence in December 1991, one week after having elected Nursultan
Nazarbayev (the First Party Secretary and Supreme Soviet President) President of
Kazakhstan with 98% of the vote. Nazerbayev quickly forged close ties with the
Russian Federation and used his influence with Yeltsin to strengthen his personal
position at home. In 1994 and 1995 Nazarbayev faced trouble from the independent
Constitutional Court over irregularities discovered by international observers in the
1994 parliamentary elections. However, the parliament (composed of a majority of
Nazarbayev supporters) turned aside the trouble, further increasing Nazarbayev’s
17
hold on power. In January 1999 Nazerbayev was again returned to office by a
landslide victory (81%), and continues to dominate the political scene.
Kyrgyzstan. In August 1991 the Kyrgyz Republic declared its independence from
the Soviet Union. Two months later Askar Akayev (the former president of the
republic) was elected President in uncontested elections, receiving over 95% of the
vote. In 1993, a new constitution was introduced and Akayev again ran for office in
1995. Once more elected to office, Akayev worked to further consolidate his power.
Relative stability in the country, and an uncanny ability to pin difficulties on
political fall guys, helped Akayev to retain his popularity, allowing him to be elected
a third time in October 2000, with 74% of the vote.
Tajikistan. In the several years before Tajik independence was declared (late 1991),
the political arena of Tajikistan had been troubled by conflict between communists,
nationalists, and Islamic reformists. A series of leaders and three new governments
lead to a fierce civil war that finally ended in 1997. The president for much of the
civil war, Emomali Rakhmonov, had been elected in 1994 as part of the agreement
intended to end the war. He was again elected in November of 1999 with 97% of
the vote. His party, the People’s Democratic Party of Tajikistan (PDPT) won 60%
of the seats in the parliamentary elections that same year. While Rakhmonov’s party
dominates the political arena of Tajikistan, significant inroads have been made by
opposition groups.
Turkmenistan. In August of 1990, the Turkmen Supreme Soviet declared
independence. One month later, Saparmurat Niyazov, the Communist Party First
Secretary, was elected president with 98% of the vote in an uncontested election. In
1999 he was declared President for Life, and now governs the country as an absolute
dictator. While there is a parliament, all members are subject to Niyazov’s approval,
and must be a member of his Democratic Party of Turkmenistan (DPT).
Uzbekistan. As late as March 1991, the vast majority of Uzbek citizens voted to
remain in the Soviet Union. The Union’s demise later that year led to a round of
presidential elections, which were won by Islom Karimov, the former First Party
Secretary, with 86% of the vote. In March 1995, Karimov’s term was extended until
2000, at which time elections were again held. Karimov once more emerged
victorious, this time receiving 92% of the popular vote. The decade of Karimov’s
rule has been characterized by increased centralization of power, accusations of
human rights violations, strong arm tactics and the suppression of political
opposition. Since December 1999, Karimov has had a parliament, the Supreme
Assembly (Oliy Majlis), where all parties (and all parliamentarians) have declared
support for his government.
Some scholars may argue that the leaders in each of these states had little choice in
the political systems they established. The death of the Soviet Union was something
of a surprise, and while there had been deep internal divisions, few people, in the
East or the West, thought the end result would be the implosion of the USSR. Under
such circumstances it is only natural that the likes of Akayev, Karimov, and
Nazerbayev filled the power vacuum. After all, they were the individuals with the
experience to govern the newly independent states and in positions that allowed
18
Sean Michael COX
them to take advantage of the situation. It is, as some have argued, simply a matter
of misfortune that the only system of government they knew how to lead was one
based on authoritarian rather than democratic principles. As Richard Rose, William
Mishler and Christian Haerpfer have noted:
“The collapse of communist power meant that [former republics] were forced to
create [new governments] at short notice and in unexpected circumstances. It is
unrealistic to expect the choices made to produce an ideal democracy.” (Rose,
et.al., 1994: 43)
It is my contention that it was not only the circumstances of the collapse of the
Soviet Union that led the leaders of these states to adopt authoritarian systems of
government. It was, in fact, due to the long existing historical influences of
leadership in the region and not just the suddenness of the transition that compelled
leaders to install governments based on the systems with which they were familiar.
Historic Leadership Models
Historically, Eurasia has had little experience with popular government. Prior to the
Mongol invasion of the late 13th Century, tribal systems of government, themselves
predominantly patriarchal, were the norm for the pastoral peoples of Central Asia.
Eventually replaced by foreign systems of government, the peoples of Eurasia lived
under foreign control for nearly eight centuries. The collapse of the Soviet system
of government provided the first sustained opportunity for self rule and the
development of democracy. However, the tendency in the post Soviet era, as seen
above, has been towards centralized authoritarian rule rather than democratically
oriented systems of government. The historic precedents for authoritarian rule in the
region are numerous. Until the 13th Century, Central Asia was primarily the domain
of numerous tribes of wandering nomads, who split their time between herding and
warring with other tribes. The southern parts of Eurasia (Ghazna, Khorasan, Persia,
and Anatolia) had been under the domination of a variety of Islamic empires since
the 8th Century, most notably those of Salah al-Din and of the ‘Abbasids, and later
the Seljuks. Beginning in the 13th Century, Chingiz (Genghis) Khan, Timur Lang,
Bohdan Khmelntsky (the Ukrainian Cossack leader), the Tsarist conquerors of the
17 th through 19th centuries, to name a few, organized all or parts of Central Asia
under authoritarian regimes essentially based on the sets of principals described
above. Some systems, for example those of Timur Lang and Khmelntsky, lasted for
only a few years, while the Islamic, Mongolian and Tsarist influences remained for
hundreds of years. All systems, regardless of origin, contained the same basic
elements of government: a reliance on militarism and terror for maintaining order
and control, hereditary accession based on some God-given right of rule, and a
distinct demarcation between the governors and the governed.
Eastern Influences. The influences on the states of Central Asia from the East
require little explanation. These influences almost exclusively represent the story of
the expansion of the Mongol Empire (first by Chengiz Khan, a title of the leader
Temujin meaning “Universal Chief”), and its later conversion to a Chinese Empire.
In 1219, Chengiz Khan swept out of the East to attack the Muslim regimes
governing Persia and Transoxiana. He united much of the Eurasian landmass under
his rule, bringing together the sedentary peoples of the region with their nomadic
19
brethren. Khan’s mandate of “One sun in Heaven, one lord on Earth” firmly
established the power relationship that was to exist between the leader and the
people under Mongol rule (Kishlansky, et.al., 1995: 445) and his use of terror tactics
to force reluctant or recalcitrant populations into submission became the de rigueur
practice of future leaders of the region.
The death of Chingiz Khan did not end the harsh, despotic rule of Eurasia by the
Mongols. His successors continued his policies of war, conquer and expansion until
only the periphery of Eurasia (Western Europe, Southeast Asia, and Japan) remained
outside direct Mongol influence. By 1243, the Mongols had invaded western Iran,
Armenia, Georgia, and northern Mesopotamia, while defeating the Seljuk rulers of
Anatolia, and finally stopping with the defeat and death of the ‘Abbasid caliph, alMusta‘sim (Lewis, 1996: 96-97). According to Bernard Lewis, this Mongol defeat
of the Caliphate ended an era in Islamic civilization by reifying the power of a single
leader – in this case the Mongolian Khan – that later influenced the rulers of the
various empires of Eurasia and the Middle East (Lewis, 1996: 97).
Northern Influences. Like the eastern influences on leadership, northern influences
were fairly simple and straightforward. The model originated with the Czars of the
16 th Century, who had styled their pattern of leadership partially from their
experiences with the Mongol overlords of the previous centuries, and partially from
the influences of Christian Europe. Due to a number of complimentary factors
(principle among them geography), the peoples of Russia, and later the Soviet
Union, had developed a tendency to seek government protection at the hands of the
strongest and most despotic leaders, even prior to the invasion of the Golden Horde.
In addition to geography, culture and material wealth also played a role in the
establishment of a powerful, authoritarian tradition in the lands of Russia.
The open spaces of Russian territory that extended across the plains of Central Asia
to the steppes of western China were an invitation from the East for invasion and
presented great difficulty in providing protection for the peoples of Russia. Due to
the sheer size of the Empire, it was physically impossible to monitor and defend
every access point from invaders. The great diversity of cultures living under
Moscow’s rule also precluded more democratically oriented rule, as strong leaders
were better able to encourage the cooperation of its people and mobilize forces to
stand up to the intruders. As Geoffrey Hosking notes, the improvisation of political
structures during times of urgency and adversity tended to favor personal power
relationships in the form of patron-client interactions (first in the druzhina and
kormlenie in Kievan Rus and the Muscovite Principality, later in the institution of
serfdom in imperial Russia and the nomenklatura system of the Soviet Union)
(Hosking, 2001: 7).
The lack of material resources (and subsequent lack of wealth) of the common
Russian further increased their dependence on those who could offer them the
protection they could not otherwise afford (Almond and Powell, 1996: 428-429). In
all forms (whether Kievan, Muscovite, or Imperial), Russian societies have been
poor, with the ownership of wealth concentrated in few hands, and the rest to fend as
communities as best they could. The inability of even the local elite to raise funds to
pay for protection, as their European counterparts did, meant a reliance on those
20
Sean Michael COX
who had the wealth to offer their protection. This exploitation was further
reinforced with the collusion of the Russian Orthodox Church who, in need of the
same patronage as the Russian masses, supported the strengthening of the patriarchic
aspects of Russian society and culture. As the Russian Empire expanded into
Central Asia after the retreat the Asian overlords in the 16th Century, this system of
authoritarian rule was brought with them and found fertile ground on the windswept
plains of Eurasia.
Southern Influences. Southern leadership influences on the region of Central Asia
were the most complex of the three. Not just because the extent of the influences
varied from leader to leader, but also because Islam played such an important role in
what type of leadership existed. Islam is as much a philosophy of government as it
is a philosophy of life and established strong, multi-directional influences (the
religion, the culture, the history) on Middle Eastern leaders. The primary tenet of
Islam, however, being submission to the will of Allah, (Goldschmidt, Jr., 1988: 43)
this had a deep impact on the source and style of leadership within the growing
Islamic world. Characteristically, the rulers of Islamic regimes were strong military
despots, segregated from their people (the ra‘aya or the “flocks”), and dependent
upon enslaved soldiers to enforce their will (Kishlansky, et. al., 1995: 443). Much
of these traditions had first been learned from the encounters Muslims had with the
Sasanids of Iran in the early 7th Century and reinforced as the u m m a h (the
community of the followers of Mohammed) grew larger and more powerful.
Yet despite the centralizing tendencies of Islam, the Muslim world was by no means
unified under a single system of government. Soon after the death of the Prophet,
the ummah split into two factions, each favoring a different heir to Mohammed’s
seat of power. This conflict of Sunni vs. Shi‘ite was further compounded by the
numerous political dynasties that were to spring up across the Muslim world. From
the Umayyads in Syria to the Mamluks in Egypt and the Ottomans in Anatolia, the
Muslim lands were inundated by a plethora of empires over a 1,200 year period.
Extending from India to Morocco and Hungary to Sudan, no less than 32 Islamic
“dynasties” existed during this time, several of which had competing claims to the
Caliphate (Goldschmidt, Jr., 1988: 373-384). Yet, the one characteristic that nearly
all of these kingdoms shared was authoritarian (and mostly despotic) leadership
based on the primacy of Islam in the culture. As much of the southern part of
Central Asia came under Islamic control, these leadership tendencies were
transferred to the region.
The Kemalist Model
Given the historical influences on leadership in the states of Eurasia, why then can it
be suggested that the system of government, and the pattern of leadership,
established by Kemal Atatürk in the 1920s represents the best model for Central
Asian leaders to utilize in bringing their states into the international community and
completing their post-communist transition phase? Atatürk was very much set on
establishing a western-oriented system of government, and had a strong aversion to
the “traditional” politics that he had witnessed at the court of the Sultan. He saw the
history of the Ottoman Empire as an anchor weighing down the development of
Turkey, and worked diligently to rid Turkey of its historical reliance on tradition,
culture and religion, all of which remain strong elements (and at times tools) in the
21
states of Central Asia today. What then is the justification for suggesting a Kemalist
model, which appears to run counter to the natural historical tendencies of Eurasia?
The reasons are fairly simple. First, what many of the countries of Central Asia are
experiencing today – the uncertainty brought about by the collapse of the only
government (and an empire at that) most citizens have ever known, the efforts to
join the international community on equal footing, the pull of historical
circumstances, the influence of Islam – these have all been part of the Turkish
experience at the time of Turkey’s formation. What most of the Eurasia states are
now suffering through, Turkey has had first hand experience with, and has survived
more or less intact, thanks in great part to Atatürk and his established model of
government. Second, Turkey has close cultural ties with the region of Central Asia.
At the least, we can see that if it is applied correctly, the Kemalist model does have
the possibility of meshing well with the political and social culture of the peoples of
Central Asia. Third, the Kemalist model, as is discussed below, is not so much
about establishing democracy, but preparing the groundwork for the growth of
democratic tendencies. The Kemalist model does not presume that citizens know
what democracy is, have a sense of civil society or are inclined towards democratic
behavior. As Lord Kinross has noted, Atatürk himself was a conflicted individual
with his Occidental outlook and Oriental habits (Kinross, 1995: 32). Yet he
understood the long-term need for democratic progression and development and thus
established a state that, for all of its flaws, is centered on democratic principles and
evolutionary growth of democratic behavior.
What exactly then is the Kemalist model? In 1923, Kemal Atatürk founded the new
Republic of Turkey from the remnants of the Ottoman Empire. Much like the
Soviet Union seven decades later, the Ottoman Empire had collapsed as a result of
internal social distress, external pressures and ineffective government. The
complexity of problems facing Atatürk forced him to adopt a loosely structured
doctrine of development, one that could avoid the pitfalls of ideology (which
Atatürk distained), yet provide a cohesive program for the citizens of this new state
to follow. These guiding principles of the new Turkish state came to be known by
1931 as the “Six Arrows” of Kemalism, and were represented on the banner of the
Republican People’s Party (CHP), the party of Atatürk (Kinross, 1995: 457).
Republicanism, populism, nationalism, and secularism were the first of the “arrows”
of Kemalism. They were introduced at a time when Atatürk was attempting to build
support for his newly founded republic. Elements within Turkish society were
inclined to favor the past system of government over the radical new form
introduced by Atatürk. The Gazi had to further contend with a significant foreign
presence on Turkish soil (primarily Greek, French, Italian and British). These first
four principles of Kemalism brought the people of Turkey together by asserting
several new notions that were easily linked: the idea of a Turkish people, with their
own land (nationalism), who can participate in the governing of the country
(populism) and have a voice in its direction (republicanism) (Kramer, 2000: 8).
As the republican model met stronger reaction from the more traditional elements of
Turkish society, Atatürk introduced his fifth and six principles, those of revolution
and statism. The former principle (nowadays translated as “reformism”) was
22
Sean Michael COX
intended to instill into the people a living sense of the democratic revolution that
Atatürk had initiated, much as was done in Mexico in 1921 under the Institutional
Revolutionary Party of the so-called Sonoran Dynasty. The latter principle was
introduced as a means of guiding the economic development of Turkey that Atatürk
knew would be followed by liberalized social mores.
At times, Atatürk had need to operate in a heavy handed manner, one that violated
most of the principles of democratic government, but was allowed (to a certain
extent) within the structure of Kemalism, as any deviance from the six principles
stood in need of correction. As Atatürk was the president, and as the principles of
Kemalism were open to interpretation, corrective measures that did seem to go
against the notion of democracy were found acceptable within this context.
Essentially Atatürk used authoritarian methods to achieve his goals – which were
democratically oriented. He was looking at the “Big Picture” and understood that if
Turkey wanted to achieve the level of development of the Western powers, the
people needed to be coerced occasionally into acting properly (Kramer, 2000: 7).
The ultimate goal of Kemalism was really to teach the people how to govern
themselves, based on democratic means and free from the chains of the past.
Kemalism emphatically was not liberal nor inherently democratic. It was tool used
by a father to educate his “children” and to create a stable “homelife” where, when
adulthood had been achieved, democracy and modernity would reign.
The Weaknesses of Kemalism
For all the benefits that Kemalism provided for the Turkish state, in the 70 years
since its inception, Kemalism has foundered due to certain weaknesses in the
doctrine. One of the main problems is that Kemalism itself is a transitional ideology
on which to model government that was based on the state of the world in the 1920s.
These basic principles that Atatürk introduced were intended to strengthen a nascent
Turkish state, not to become the permanent mantra of a heavy-handed government.
They were created as functional tools for the period, not as substitutes for the natural
development of popular government (Kramer, 2000: 1). Many of the challenges that
Atatürk feared would tear apart the country he had worked so hard to create, now no
longer exist. The communist threat has vanished, the notion that European powers
wanted to dissect Turkey no longer holds water (although some may argue that the
process of globalization and the involvement of the IMF in Turkish affairs are
simply a 21st Century version of the Capitulations which played such a devastating
role on the economy and the psyche of Turkey), and Turks now appreciate, to a
certain extent, the idea of democratic rule and popular participation in government.
While it is true that Islamic fundamentalism has been on the rise in Turkey, this
should be understood more in the context of democratic development than
reactionary reversal.
A second problem that has been attached to Kemalism is its openness to
interpretation. As an example, right-wing nationalists cite his pride in Turkey’s
ancestry as a call for pan-Turkism, while socialists see his placing the state at the
head of the economy as a sign of his leftist tendencies (Pope, 1997: 67). Those who
followed Atatürk as the leaders of the Turkish government were able to use the
intentional ambiguity of the Kemalist principles to justify almost any unpopular
23
action, the most obvious of which are the several military coups that Turkey has
experienced over the last 40 years.
Finally, a lasting problem that has no real solution rests on the fact that Kemalism
forced democratic development on the people of Turkey, many of whom were
uncomfortable with the clash between modern (and Western) democratic values and
those traditional values associated with a Muslim society. Democracy works best
when it is developed at the grass roots and grows to encompass a political system.
Atatürk understood this, but he also understood that the people of Turkey needed
help in developing democratic tendencies. Thus, when the people balked at the
actions of the government, Atatürk forced the issue, essentially letting his people
know that they would become democratic and like it, or else. Unfortunately,
Atatürk died at a stage of development that tended to emphasize the authoritarian
aspects of Kemalism rather than the populist features. Thus, those who followed in
his giant footsteps (most notably Ismet Inönü) were guided by a false (and
incomplete) representation of the path that Atatürk had intended.
The Future of Central Asia
While it took the tragic events of September 11th, 2001 for the world to notice
Central Asia, hopefully such another clarion call will not be needed to ensure the
continued participation of developed countries in completing the transition from
authoritarianism to “democracy” that is self-sustaining and viable. The ability of
leaders in the great number of Eurasian states, particularly those of strict
authoritarian bearing, to recognize the benefits of the Kemalist model is certainly
and obviously not an easy task. And the model itself must be handled with care or
many of the same failures that plague Turkey today could emerge at this important
stage of transition. The Kemalist model is by no means perfect, but it does offer
guidelines that can be used in an area of the world with similar, albeit lengthier,
historical tendencies.
States such as Azerbaijan, with the elderly Heydar Aliyev, Turkmenistan, where
Saparmurat Niyazov governs as an absolute dictator, and Uzbekistan, where the
strong arm political style of Islom Karimov holds sway, will be hard pressed to
adopt the Kemalist model. They have been entrenched in their systems of
government for too long and their leaders are too old to readily contemplate such
dramatic change. Aliyev, Karimov, and Niyazov are all too aware of the Pandora’s
Box which may be opened should they introduce more liberal policies, and are
unlikely to fiddle with the mechanisms of their governments.
For Kazakhstan and Kyrgystan there is greater hope, as both leaders in these states
are younger and moderately more progressive than their peers. Nursultan
Nazarbayev, who has governed since the Gorbachev era, is young enough (born in
1940) to adjust his methods of government and old enough to be concerned about
his historical legacy. Much the same can be said for Askar Akayev (born 1944), the
President of Kyrgystan. Although he was a new comer to the political field (having
been the former head of the Academy of Sciences), he has quickly built a following
for himself and remains quite popular. Nazarbayev, while representing the old
Soviet school if government, was also a late entry into the system and is considered
a benevolent contemporary dictator. By guaranteeing elections free from the taint of
24
Sean Michael COX
corruption, by bringing together the two main ethnic groups (Kazakhs and Russian),
and by opening up the political process, Nazarbayev can guide the people of
Kazakhstan towards eventual democracy. Akayev, too, must deal more openly with
his constituency, ending the activities that typify authoritarian rule, which in his case
means primarily tinkering with the constitution and creating political infighting to
weaken prospective opponents. By strengthening the trust of the people in the
system of government, both Akayev and Nazarbayev can move their states towards
more open and representative democracy.
Both Georgia and Tajikistan have had difficulty with open civil conflict. Neither
state has a leader that is particularly good at creating a sustained peace, although
Eduard Shevardnadnze has significant prestige in the international community that,
if better utilized, could lead to the involvement of foreign states in assisting Georgia
during this time of trouble. The first step necessary for each of these states is
constructing a concept of identity that can include all segments of each of these
societies. The excesses of the 1980 Turkish revolution and its aftermath aside, one
strength of the Kemalist model was that the principle of nationalism created an
image of the Turk that was worthy of a people with such a long history and such a
rich culture. Circassians, Laz, and even Kurds identify very much with being a Turk
and being “Turkish.” If the leadership of both Georgia and Tajikistan could create
an identity of their peoples that was inclusive rather than exclusive then the
foundations would be built for construction of a state where civil conflict would not
be a concern.
Of the Central Asian states discussed in this paper, only Armenia seems poised to
make a leap to the Kemalist model. Robert Kocharian’s succession to the
Presidency in in 1998 brought new leadership to power that has the benefit of a
strong political machine behind it, and significant support from the population (even
with factoring in voter fraud). As a country, Armenia also benefits from strong
external support, particularly in France and the US, and a homogenous ethnic
population. Economic development has increased dramatically since the collapse of
the Soviet Union and the political instability that characterized the Lev TerPetrosyyan administration has diminished (although it has not ended). What is left
to do is for Kocharian to encourage the positive aspects of social and political
development that have surfaced in Armenia and to forgo the desire to deal with
troubles in a swift, authoritarian manner.
Conclusion
Suggesting that the states of Central Asia adopt models of government that are not
completely democratic may not be the most popular idea in a post-communist world,
but it is in fact what is needed in the region. The historical experiences of the
peoples of Eurasia do not lend themselves to the development of democratic
institutions that are capable of functioning for the benefit of the citizens of the
region. However, by suggesting a model of government that is not inherently
democratic does not mean that democracy will not develop in Central Asia. It
simply means that it will take time to foster the growth of systems of government
that are responsive to the people and not the tools of the authoritarian elite. The
Kemalist model can work in Central Asia, if it is applied carefully and if its growth
is monitored closely. While after the death of Atatürk the model fell into misuse in
25
Turkey, this need not be the case in the states of Eurasia. And as with Turkey,
change will take time, but democracy eventually can flourish in a region that is not
yet ready for democracy (Lane, 2002).
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KINROSS, P. (1995). Atatürk: Rebirth of a Nation. London: Phoenix Giant, 1995.
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KRAMER, H. (2000). A Changing Turkey: The Challenge to Europe and the
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LANE, D. (Cambridge University). Conversation, Istanbul, Turkey, 30 April, 2002.
LEWIS, B. (1996). The Middle East: 2000 Years of History from the Rise of
Christianity to the Present Day. London: Phoenix Giant.
POPE, N. And H. (1997). TurkeyUnveiled: A History of Modern Turkey.
Woodstock and New York: Overlook Press.
ROSE, R., MISHLER, W., and HAERPFER, C. (1998). Democracy and Its
Alternatives: Understanding Post-Communist Transitions. Baltimore: The
John Hopkins University Press.
AKIŞ TİPİ ÇİZELGELEME PROBLEMLERİNİN GENETİK
ALGORİTMA YARDIMI İLE ÇÖZÜMÜNDE UYGUN
ÇAPRAZLAMA OPERATÖRÜNÜN BELİRLENMESİ
Orhan ENGİN
Selçuk Üniversitesi, Endüstri Mühendisliği Bölümü
Alpaslan FIĞLALI
İstanbul Teknik Üniversitesi, Endüstri Mühendisliği Bölümü
ÖZET : Bu çalõşmada tamamlanma zamanõ (Cmax) kriterli akõş tipi çizelgeleme
problemlerinin Genetik algoritma yardõmõ ile çözümünde uygun çaprazlama
operatörünün belirlenmesine çalõşõlmõştõr. Genetik algoritmanõn çözüm
performansõnõ önemli ölçüde etkileyen parametrelerden birisi olan çaprazlama
operatörünün akõş tipi çizelgeleme problemleri için en etkinini belirlemek amacõyla
bu tip problemlerin çözümüne uygun olan altõ ayrõ çaprazlama operatörü; işlem
süreleri [1-1000] dakika aralõğõnda üniform dağõlõma göre rassal olarak oluşturulan
iki makine-çok iş ve J. Carlier (1978) tarafõndan geliştirilen ve işlem süreleri [11000] dakika aralõğõnda değişen çok makine-çok iş problemleri üzerinde test
edilmiştir. Etkin çaprazlama yönteminin makine sayõsõna bağlõ olarak değiştiği
belirlenmiştir.
Anahtar Kelimeler: Akõş tipi çizelgeleme, Genetik Algoritma, Çaprazlama
Operatörü, Parametre Optimizasyonu
ABSTRACT: : In this study crossover operators of Genetic Algorithms are tested
for flowshop scheduling problems which are in NP-hard class and the most
effective operator is determined. Six crossover operators are tested on different
scaled flowshop scheduling problems with long processing times. Problems are
examined in two categories: 2 machine and multi machine problems. In 2-machine
problems six different scaled problems were used which are produced randomly.
For multi-machine problems seven different scaled reference problems were used
which are produced by J. Carlier. The most effective crossover operators are
determined for both categories according to the results of 2050 experiments.
Keywords: Flowshop Scheduling, Genetic Algorithm, Crossover Operator,
Parameter Optimization
1. GİRİŞ
Holland tarafõndan 1975 yõlõnda geliştirilen Genetik Algoritma(GA), bir çok
kombinatoriyel optimizasyon problemi üzerinde başarõlõ bir şekilde uygulanmõştõr
(Goldberg, 1989). Son on yõlda yapõlan çalõşmalarda , m farklõ makine ve n işten
oluşan ve NP-Zor (m>2 için) olarak kabul edilen (Chen ve diğ., 1995) akõş tipi
çizelgeleme problemleri için Genetik Algoritma (GA) başarõlõ sonuçlar vermiştir.
Birbirinden farklõ m-makine ve n-iş’den oluşan ve her bir işin aynõ sõra ile m farklõ
operasyondan geçtiği, akõş tipi çizelgeleme problemleri ile ilgili ilk çalõşma Johnson
tarafõndan yapõlmõştõr (French, 1981). Çok makine (m>2) problemleri için son
yõllarda çeşitli sezgisel yöntemler geliştirilmiştir. Bu yöntemler içinde en iyi çözüm
veren arama metotlarõndan biri de Genetik Algoritmadõr. Akõş tipi çizelgeleme
problemlerinin GA ile çözümünde ilk model Cleveland ve Smith (1989) tarafõndan
28
Orhan ENGİN, Alpaslan FIĞLALI
gerçekleştirilmiştir. Chen, Vempati ve Aljaber (1995) farklõ ölçeklerde
oluşturduklarõ problemleri genetik algoritma ile çözmüşler ve elde ettikleri sonuçlarõ
Widmer ve Hertz’in (1989) sezgisel yöntemi (SPRINT) ve Ho ve Chang’õn (1991)
sezgisel yöntemi ile karşõlaştõrmõşlardõr. Genetik algoritmanõn daha iyi performans
gösterdiğini gözlemişlerdir (Chen ve diğ., 1995). Reeves, n/m/P/Cmax , akõş tipi
çizelgeleme problemlerini genetik algoritmalar ile çözerek elde ettiği sonuçlarõ
tavlama benzetimi (Simulated Annealing-SA) ve komşuluk aralõğõ tekniği
(Neighbourhood Search) ile bulunan sonuçlarla karşõlaştõrarak GA’nõn akõş tipi
çizelgeleme problemleri için daha iyi sonuç verdiğini göstermiştir (Reeves, 1995).
Genetik algoritmanõn performansõnõ, üreme, çaprazlama ve mutasyon operatörleri ile
çaprazlama ve mutasyon oranlarõ önemli ölçüde etkilemektedir (Goldberg, 1989).
Akõş tipi çizelgeleme problemlerinin GA ile çözümünde, kõsa işlem süreleriyle
(daha düşük nesil sayõlarõnda) optimum veya optimuma yakõn çözümlere ulaşmak
için bu parametrelerin seçimi ile ilgili herhangi bir kural mevcut değildir (Cicirello
ve Smith, 2000). Herhangi bir problem türü için kullanõldõğõnda GA için optimum
veya optimuma yakõn çözüm veren bir kontrol parametresi seti, başka bir GA
uygulamasõ için genelleştirilemez (Cicirello ve Smith, 2000). Bu nedenlerden dolayõ
optimum çözümü bulunamayan (m>2) akõş tipi çizelgeleme problemlerinin GA ile
çözüm performansõnõn artõrõlmasõ için en etkin çaprazlama yönteminin belirlenmesi
çözüm süresini kõsaltmak ve daha iyi (optimum veya optimuma yakõn) çözümler
elde edilebilmesi açõsõndan önem taşõmaktadõr. Bu çalõşmada yapõ olarak akõş tipi
çizelgeleme problemlerine uygunluğu bilinen altõ farklõ çaprazlama operatörü, farklõ
ölçekteki onüç problem üzerinde test edilerek en etkin olanõ araştõrõlmõştõr. Turbo
pascal programlama dilinde hazõrlanan GA programõ ile uzun işlem süreli (işlem
süreleri 1-1000 dakika aralõğõnda değişen) problemler üzerinde yapõlan deneyler
sonucu iki makine ve çok makine problemleri için en iyi performansõ gösteren
çaprazlama operatörleri ayrõ ayrõ belirlenmiştir. Genetik algoritmalarõn genel
özellikleri ve kullanõlan parametreler aşağõdaki bölümde kõsaca anlatõlmaktadõr.
2. GENETİK ALGORİTMALAR
Genetik algoritma rassal arama tekniklerini kullanarak çözüm bulmaya çalõşan,
parametre kodlama esasõna dayalõ bir arama tekniğidir (Goldberg, 1989). Genetik
algoritma, pek çok problem türü için uygun parametreler ile çalõşõldõğõ taktirde
optimuma yakõn çözümler verir. GA’nõn çalõşma yöntemi Darwin’in “Doğal
Seçim” prensibine dayanõr. GA doğadaki canlõlarõn geçirdiği evrim sürecini dikkate
alõr. Amaç doğal sistemlerin uyum sağlama özelliğini dikkate alarak yapay
sistemleri tasarlamaktõr. Bir problemin GA ile çözümünde takip edilecek işlem
adõmlarõ aşağõda verilmektedir (Croce ve diğ., 1995):
1. Arama uzayõndaki bütün muhtemel çözümler, dizi olarak kodlanõr. Bu diziyi
(kromozomu) oluşturan her bir elemana gen denir. Her bir dizi, arama uzayõnda
belirli bir bölgeye tekabül eder.
2. Genellikle rassal bir çözüm seti seçilir ve başlangõç popülasyonu olarak kabul
edilir.
3. Her bir dizi için bir uygunluk değeri hesaplanõr; bulunan uygunluk değerleri
dizilerin çözüm kalitesini gösterir.
4. Bir grup dizi (kromozom) belirli bir olasõlõk değerine göre rassal olarak seçilip
üreme işlemi gerçekleştirilir.
5. Üreme işleminde çeşitli genetik operatörler kullanõlabilir.
Akõş Tipi Çizelgeleme Problemlerinin Genetik Algoritma Yardõmõ İle ...
29
6. Yeni bireylerin uygunluk değerleri hesaplanarak, çaprazlama ve mutasyon
işlemlerine tabi tutulur.
7. Önceden belirlenen nesil sayõsõ boyunca yukarõdaki işlemler devam ettirilir.
8. İterasyon, nesil sayõsõna ulaşõnca işlem bitirilir. Uygunluk değeri en yüksek olan
dizi seçilir.
2.1 Genetik Algoritmalarda Kullanõlan Parametreler:
Genetik algoritmanõn etkinliği kullanõlan parametrelere bağlõ olarak değişir (Chen ve
diğ., 1995). Akõş tipi çizelgeleme problemlerinin genetik algoritma ile çözümünde
çözüm kalitesi üzerinde etkisi olduğu bilinen aşağõdaki parametreler kullanõlarak
deneyler yapõlmõştõr:
1.Başlangõç Popülasyonu: Problemlerin test edilmesinde, literatürdeki çalõşmalara
benzer olarak, başlangõç popülasyonu büyüklüğü problem büyüklüğüne bağlõ olarak
10-30 aralõğõnda seçilmiştir (Ghedjati, 1999).
2.Üreme Yöntemi: Çizelgeleme problemleri için tasarlanan ve etkinliği bilinen
Akõş zamanlõ Rulet çemberi üreme yöntemi kullanõlmõştõr (Engin, 2001). Bu yöntem
rulet çemberinin özel halidir. Amaç değeri olarak, toplam akõş zamanõ kullanõlõr.
Maksimizasyon problemlerinin tersine, Cmax değeri küçük olanlarõn bir sonraki
popülasyona geçmelerine öncelik tanõnõr. Popülasyondaki her bireyin seçim
olasõlõğõ aşağõdaki prosedüre göre hesaplanõr;
a) Popülasyondaki her birey için toplam akõş zamanõ hesaplanõr,
b) Popülasyondaki toplam maksimum akõş zamanõ (Fmax) bulunur,
c) Her bireyin toplam akõş zamanõnõn popülasyondaki maksimum akõş zamanõ
içerisindeki oranõ(%) belirlenir.
d) Hesaplanan bu oran, amaç fonksiyonu minimizasyon olduğundan, birden
çõkartõlarak her bir kromozomun bir sonraki nesilde yer almasõ olasõlõğõ
hesaplanõr,
e) Uniform dağõlõma göre üretilen rassal sayõlar yardõmõ ile bir sonraki nesilde
yer alacak kromozomlar seçilir.
3.Çaprazlama Yöntemi:Akõş tipi çizelgeleme problemlerine uygun altõ farklõ
çaprazlama yöntemi test edilmiştir. Bunlar; Pozisyona dayalõ, Sõraya dayalõ, Kõsmi
planlõ, Dairesel, Doğrusal ve Sõralõ Çaprazlama yöntemleridir.
4.Mutasyon Operatörü: Literatürde kullanõlan beş ayrõ mutasyon operatörünün
(Murata ve diğ., 1996) test edilmesi ile en uygun olarak belirlenen (Engin, 2001),
Keyfi üç iş değiştirme mutasyon yöntemi kullanõlmõştõr.
5.Çaprazlama Oranõ: Çaprazlama oranõ literatürdeki çalõşmalara benzer olarak
%90 gibi yüksek bir değer seçilmiştir (Cheng ve diğ., 1999).
6.Mutasyon Oranõ: Mutasyon oranõ literatürdeki önerilere paralel biçimde %1
olarak seçilmiştir (Wang ve diğ., 1999).
Deney problemlerinde, iş dizilişi için temel kodlama kullanõlmõştõr (Cleveland ve
Smith, 1989). Nesil sayõsõ, problem ölçeğine bağlõ olarak 250-1000 arasõnda
seçilmiştir.
30
2.2 Akõş Tipi Çizelgelemede Kullanõlan Çaprazlama Operatörleri:
Çaprazlama operatörü GA’nõn temel işlemcisi olup çözüme ulaşma performansõnõ
önemli ölçüde etkilemektedir. Akõş tipi çizelgeleme problemlerinde genellikle bir ve
iki noktalõ çaprazlama yöntemi kullanõlõr. Bu bölümde deneylerde kullanõlan ve
performanslarõ test edilen altõ ayrõ çaprazlama yöntemi kõsaca açõklanmõştõr:
1.Pozisyona Dayalõ Çaprazlama Yöntemi (PBX): Bu yöntemde rassal olarak
seçilmiş pozisyondaki işler, bir ebeveynden çocuğa kalõtsallaştõrõlõr. Diğer işler diğer
ebeveynde bulunduklarõ sõra ile yerleştirilir. Öncelikle pozisyondaki sayõlar, [1, n]
rassal tamsayõlar şeklinde düzenlenir, daha sonra bu pozisyonlar rassal olarak seçilir.
Her pozisyonun çaprazlama olasõlõğõ %50 dir (Murata ve diğ., 1996). Şekil 1’ de
sekiz iş içeren iki kromozomdan yapõlan pozisyona dayalõ çaprazlama örneği
görülmektedir.
A
B
C
D
E
F
G
H
A
B
C
D
E
G
F
H
E
H
A
D
B
C
G
F
Şekil 1. Pozisyona Dayalõ Çaprazlama
2.Sõraya Dayalõ Çaprazlama Yöntemi (OBX):. Bu yöntemde bir grup nokta
rasgele seçilir. Birinci kromozomun seçilen noktalara karşõlõk gelen karakterleri
aynen yerlerini korur. İkinci kromozomun seçilen noktalara ait karakterleri birinci
kromozomun aynõ noktalarõndaki karakterlerin arkasõna getirilir. Geriye kalan boş
pozisyonlara ikinci kromozomdan aktarõlan yeni karakterler de göz önünde
bulundurularak ilk kromozomun kullanõlmayan karakterleri sõra ile (soldan sağa)
yerleştirilerek yeni bir kromozom elde edilir (Cheng ve diğ., 1999). Bu tür
çaprazlama, kromozomu oluşturan karakterlerin sayõ ve sõralarõnõn önem taşõdõğõ
durumlarda kullanõlõr. Bu çaprazlama işlemine ait birer çaprazlama örneği Şekil
2’de verilmiştir.
ÇAPRAZLAMADAN
Önce
Sonra
ABCDEFG=====AGCDEFB
l
l
GFEDCBA=====GAEDCBF
Şekil 2. Sõraya Dayalõ Çaprazlama
3.Kõsmi Planlõ Çaprazlama (PMX): Goldberg tarafõndan geliştirilen bu
çaprazlama ilk olarak gezgin satõcõ probleminde (TSP) kullanõlmõştõr. Bu yöntemde
iki ayrõ iş sõrasõnda rassal olarak aralõklar belirlenir ve bu aralõkta yer alan işlerin
31
yeri karşõlõklõ olarak değiştirilir (Goldberg, 1989). Bu yöntem aşağõda bir örnek
üzerinde açõklanmaktadõr:
Çaprazlama için seçilen ebeveyn yapõlar, A ve B olarak adlandõrõlmõştõr ve sekiz iş
içermektedir. Yapõdaki elementler aşağõdaki biçimde verilmiştir.
A=28645713
B=87213465
A ve B’ ye PMX operatörü uygulanõr ise, A ve B’den ilk olarak ortak bir aralõk
rassal bir şekilde seçilir. Daha sonra, seçilmiş iki aralõktaki elementlerin değişim
planlarõ belirlenir. Bu örnekte, seçilmiş aralõklar arasõndaki plan 6’ya 2; 4’e 1 ve 5’e
3’tür. İkinci olarak, A ve B’ deki iki aralõk karşõlõklõ değiştirilir. Bir dizide bir iş
tekrarlõ olarak yer aldõğõndan her iki yapõnõn da uygun olmadõğõ görülmektedir ve
buradan elde edilen yapõlar geçici sonuçlar olarak değerlendirilir.
A=28 213 713
B=87 645 465
Bundan dolayõ, yeni yapõlarõ uygun olmayan A ve B’ de, değişim planõnõn
uygulanmasõ gerekir. Bu örnekte, A yapõsõnõn 1, 7 ve 8 pozisyonlarõnda yer alan; 2,
1 ve 3 değerleri sõrasõyla 6, 4 ve 5 değerleriyle değiştirilir. B yapõsõnda ise 6, 7, ve
8 pozisyonlarõndaki 4, 6 ve 5 değerleri sõrasõyla 1, 2 ve 3 tarafõndan değiştirilir.
Yeni yapõ aşağõdaki gibi oluşmaktadõr.
A=68 213 745
B=87 645 123
4.Dairesel Çaprazlama (CX): Davis, Goldberg ve Lingle tarafõndan geliştirilmiş
bir yöntemdir. Bu yöntemde ilk kromozomdan en baştaki gen seçilir ve bu gen yeni
diziye yerleştirilir. Bu gene karşõlõk gelen ikinci kromozomdaki gen belirlenir bu
değer de yeni kromozom üzerine yerleştirilerek dairesel bir şekilde bütün genler
belirlenir (Goldberg, 1989). İşlem adõmlarõ aşağõdaki örnekte görülmektedir:
İki ayrõ ebeveyn (kromozom) C ve D olarak kodlanmõş olsun,
C =9 8 2 1 7 4 5 10 6 3
D=1 2 3 4 5 6 7 8 9 10
Çaprazlama haritasõnda C kromozomundan (ilk bireyden) en sondaki değer olan 9
seçilir. C bireyinden seçilen 9’un karşõlõğõ, D bireyinde 1 olmaktadõr; C’ de 1 geni
yerine yazõlõr, 1’in karşõlõğõ D’ de 4 olmaktadõr, 4 geni yerine yazõlõr ve aşağõdaki
ifade elde edilir:
C I =9 - - 1 - 4 - - 6 Kalan boşluklara diğer genler yazõlarak yeni kromozomlar elde edilir:
C I =9 2 3 1 5 4 7 8 6 10
D I =1 8 2 4 7 6 5 10 9 3
32
5.Doğrusal Sõralõ Çaprazlama (LOX): Falkenauer ve Bouffouix tarafõndan
geliştirilmiştir. Dairesel çaprazlamanõn bir varyantõdõr. İşlem adõmlarõ (Cheng ve
diğ., 1999) aşağõda verilmektedir:
1. Mevcut popülasyon içerisinden rassal olarak iki ebeveyn seç,
2. Seçilen bu iki dizi (kromozom) üzerinde rassal olarak iki alt dizi seç,
3. P1 dizisinden seçilen alt diziyi kromozomdan kopar ve boş kalan yerleri belirle,
benzer şekilde P2 dizisinde de aynõ işlemleri gerçekleştir,
4. Birinci alt diziyi P1’e ve ikinci alt diziyi P2’ye yerleştir.
6.Sõralõ Çaprazlama (OX): Bu yöntem de, Davis,Goldberg ve Lingle tarafõndan
geliştirilmiştir (Goldberg, 1989). Bu yöntemde, gen havuzundan rassal olarak iki
kromozom seçilir. Bu kromozomlar üzerinde yine rassal olarak iki ayrõ kesim
noktasõ belirlenir. Bu kesim noktalarõ arasõndaki kromozom sayõsõnõn her iki
kromozomda da aynõ olmasõna dikkat edilir. Kesim noktalarõ arasõndaki
kromozomlar karşõlõklõ olarak yer değiştirilir. Kesim bölgesi dõşõnda yer alan genler
içerisinde tekrarlõ genler oluşursa bunlar yerine sõra ile soldan sağa doğru
kromozomda bulunmayan genler yazõlõr. OX yönteminin işleyişi aşağõda A ve B
şeklinde kodlanmõş olan iki kromozom üzerinde gösterilmektedir:
A = 9 8 4 5 6 7 1 3 2 10
B = 8 7 1 2 3 10 9 5 4 6
Sõralõ çaprazlama yöntemine göre, 5,6,7 genleri yerine; 2,3,10 genleri atanõr ve A
kromozomunda daha önce 2,3 ve 10 bulunan yerlere H yazõlõr, buna göre aşağõdaki
ifade elde edilir:
A = 9 8 4 2 3 10 1 H H H
B=8H1 567 9H4H
H yerine dizide olmayan işler eklendiğinde yeni kromozomlar aşağõdaki şekilde elde
edilir:
AI = 9 8 4 2 3 10 1 5 6 7
BI = 8 2 1 5 6 7
9 3 4 10
Küçük örnekler üzerinde işleyiş mekanizmalarõ kõsaca anlatõlan çaprazlama
yöntemlerinin genetik algoritmalarõn çözüm performansõnõ ne ölçüde etkilediğine
ilişkin deneyler ve elde edilen sonuçlar izleyen bölümde yer almaktadõr.
3. DENEY SONUÇLARI
Akõş tipi çizelgeleme problemleri için, Genetik algoritmalarda etkin çaprazlama
operatörünün belirlenmesi ve problem büyüklüğü ile ilişkisinin saptanmasõ amacõyla
iki farklõ problem grubu üzerinde çalõşõlmõştõr:
1. İşlem zamanlarõ, [1-1000] dakika arasõnda üniform dağõlõma göre rassal olarak
üretilen (Chou ve Lee., 1999), 2-makine, n-iş problemleri,
2. J. Carlier tarafõndan geliştirilen ve işlem zamanlarõ [1-1000] aralõğõnda değişen
m-makine (m>2), n-iş problemleri (Carlier, 1978).
33
İki makine-çok iş problemlerinde, rassal olarak üretilen altõ farklõ problem üzerinde
çalõşõlmõştõr. Her problem genetik algoritma ile altõ farklõ çaprazlama yöntemi
kullanõlarak, her çaprazlama yöntemi için 25 kez çözülmüştür. Elde edilen Cmax
değerlerinin ve optimum çözüme kadar geçen nesil sayõlarõnõn ortalamalarõ
alõnmõştõr. Bu yolla rassallõklardan kaynaklanan nedenlerle oluşabilecek ekstrem
çözümlerden kaçõnõlmõştõr. Altõ farklõ problem, altõ farklõ üreme operatörü için
denendiğinden ve her problem 25 kez çözüldüğünden toplam 900 deneme yapmak
gerekmiştir. İki makine problemlerinin optimum çözümleri öncelikli olarak Johnson
algoritmasõ yardõmõ ile bulunmuş ve genetik algoritma ile elde edilen en iyi
tamamlanma zamanlarõ (Cmax) ile karşõlaştõrõlmõştõr. Bu deneylerde optimum çözüme
ulaşmak için gereken nesil sayõlarõnõn aritmetik ortalamalarõ ile standart sapmalarõ
Tablo 1’ de sunulmuştur.
İki makine problemlerinde optimum çözüme ulaşmak için gereken en küçük nesil
sayõsõnõn aritmetik ortalamasõ ve standart sapmasõ, Sõralõ çaprazlama yöntemi (OX)
ile elde edilmiştir.
Tablo 1. İki Makine Problemlerinde GA ile Optimum Çözüme Ulaşõlan Nesil
Sayõlarõ
Çaprazlama
Yöntemi
Problem 1
2mak.x10iş
x
σ
Problem 2
2mak.x10iş
x
σ
Problem 3
2mak.x20iş
x
σ
Problem 4
2mak.x20iş
x
σ
Problem 5
2mak.x15iş
x
σ
Problem 6
2mak.x15iş
x
σ
PBX
72,70
65,22 12,48 16,26 59,36 68,14 16,32 27,96 48,64 61,35 37,96 38,74
OBX
74,88
60,40 8,84
PMX
78,56
71,31 28,96 40,57 72,64 74,02 19,48 30,79
CX
84,40
78,09 14,56 22,19 67,36 97,95 14,64 18,58 34,48 46,16 33,12 33,39
LOX
55,28
45,77 15,36 17,23 26,92 25,93
8,24
OX
28,68
27,79 8,12
3,72 4,730
8,79 10,48 13,82
6,57
5,12
5,11
6,76 10,66 16,16 21,33 12,00 11,62
39,2 56,09 15,88 21,20
9,67 27,16 24,18 14,00 13,51
7,36
8,21
7,56
6,46
Çok makine problemleri için, J.Carlier tarafõndan geliştirilen yedi farklõ problem
üzerinde yapõlan deneyler sonucunda elde edilen tamamlanma zamanlarõnõn (Cmax)
aritmetik ortalama ve standart sapma değerleri Tablo 2’de sunulmuştur. Çok makine
problemlerinde de rassallõklardan kaynaklanabilecek sapmalarõ engellemek amacõyla
her problem 25 kez çözülerek ortalama değerler kullanõlmõştõr. Bu nedenle yedi
problem ve altõ çaprazlama yöntemi için toplam 1050 deney yapmak gerekmiştir.
Tablo 2’de her problem için yapõlan 25 çözüm içerisinden elde edilen en iyi
tamamlanma süresi değerleri verilmektedir. En iyi çözüm değerlerine Lineer sõralõ
çaprazlama yöntemi (LOX) ile ulaşõldõğõ görülmektedir ancak OBX, PMX ve CX
yöntemlerinin en iyi çözüm performanslarõ da LOX ile yarõşabilecek düzeydedir. Bu
nedenle çaprazlama yöntemleri arasõndaki etkinlik farkõnõn ortaya daha iyi
konulabilmesi için her problem için her çaprazlama yöntemiyle yapõlan 25 çözümde
elde edilen en iyi tamamlanma zamanõ değerlerinin ortalama ve standart sapmalarõ
hesaplanmõş ve Tablo 3’de verilmiştir. Tablo 3’de standart sapmalarõn sõfõr olduğu
durumlar bir çaprazlama yöntemiyle yapõlan 25 çözümün tümünde de en iyi
tamamlanma süresinin elde edildiğini göstermektedir. Problem 1’de bütün
çaprazlama yöntemleriyle yapõlan tüm denemelerde en iyi tamamlanma sürelerine
ulaşõldõğõndan ve bu nedenle elde edilen ortalama Cmax değerleri aynõ olduğundan, en
iyi Cmax elde edilene kadar geçen nesil sayõlarõnõn da (iterasyon sayõsõ-çözüm süresi)
34
dikkate alõnmasõ gerekmiş ve ortalama nesil sayõsõ değerleri Tablo 4’de verilmiştir.
Sonuçlar incelendiğinde, minimum nesil sayõsõ ile Cmax değerlerine ulaşõldõğõndan
Lineer sõralõ çaprazlama yöntemi (LOX) önerilebilir.
Tablo 2. J.Carlier’in Çok Makine Problemlerinin GA ile Elde Edilen En İyi
Tamamlanma Zamanlarõ
Çaprazlama Yöntemi
Problem 1
(5 makine x 11 iş)
Problem 2
(4 makine x 13 iş)
Problem 3
(5 makine x 12 iş)
Problem 4
(6 makine x 10 iş)
Problem 5
(8 makine x 9 iş)
Problem 6
(7 makine x7 iş)
Problem 7
(8 makine x 8 iş)
PBX
OBX
PMX
CX
LOX
OX
x
7038
7038
7038
7038
7038
7038
x
7166
7166
7166
7166
7166
7166
x
7312
7480
7399
7399
7312
7399
x
7727
7720
7720
7720
7720
7738
x
8570
8505
8505
8505
8505
8505
x
6643
6590
6590
6590
6590
6590
x
8366
8366
8366
8366
8366
8366
Tablo 3. J.Carlier’in Çok Makine Problemlerinin GA ile Elde Edilen
Tamamlanma Zamanlarõnõn Ortalamalarõ
Problem 1
(5 makine x 11 iş)
Cmax
Problem 2
(4 makine x 13 iş)
Cmax
Problem 3
(5 makine x 12 iş)
Cmax
Problem 4
(6 makine x 10 iş)
Cmax
Problem 5
(8 makine x 9 iş)
Cmax
Problem 6
(7 makine x7 iş)
Cmax
Problem 7
(8 makine x 8 iş)
Cmax
PBX
7038,00
x
OBX
7038,00
PMX
7038,00
CX
7038,00
LOX
7038,00
OX
7038,00
σ
0
0
0
0
0
0
x
7217,24
7342,46
7269,71
7297,17
7210,53
7296,35
σ
549,67
71,37
140,41
121,15
74,97
87,21
x
8254,84
8115,80
8154,60
8070,16
8026,40
8031,60
σ
170,57
49,62
173,52
136,53
45,75
41,87
x
7782,60
7747,60
7803,60
7815,72
7750,20
7759,68
σ
38,21
12,60
31,40
50,74
15,65
23,31
x
8718,88
8644,72
8677,64
8729,02
8505,00
8505,00
σ
60,30
74,90
101,25
122,97
0
0
x
6685,70
6617,04
6695,96
6697,16
6590,00
6590,00
σ
72,49
42,27
74,99
68,80
0
0
x
8453,20
8392,60
8451,70
8440,40
8372,80
8375,92
σ
117,03
24,02
97,44
85,06
15,76
19,98
Tablo 4. Problem 1 (5 makine x 11 iş) için En İyi Çözüme Ulaşmak İçin Geçen
Nesil Sayõlarõ
Problem 1
(5 makine x 11 iş)
Nesil sayõsõ
x
PBX
85,20
OBX
49,52
PMX
93,04
CX
111,52
LOX
38,52
OX
99,08
σ
101,47
37,74
141,17
134,26
25,05
93,91
35
4. SONUÇLAR
Bu çalõşmada tamamlanma zamanlõ akõş tipi çizelgeleme problemlerinin GA ile
çözümünde uygun çaprazlama operatörü belirlenmeye çalõşõlmõştõr. İki farklõ grup
problem üzerinde yapõlan toplam 1950 adet deney sonucunda, işlem süreleri yüksek
olan çizelgeleme problemlerinde çok makine-çok iş problemleri için en uygun
çaprazlama operatörünün Lineer Sõralõ Çaprazlama (LOX) olduğu; iki makine-çok iş
problemlerinde ise Sõralõ Çaprazlama yönteminin (OX) iyi performans gösterdiği
belirlenmiştir.
GA’nõn kombinatoriyel optimizasyon problemlerinde etkin bir şekilde
kullanõlabilmesi için GA’da kullanõlan diğer parametrelerin optimize edilmesi
gereği açõktõr. Bu yolla çözüm kalitesi ve performansõ önemli ölçüde iyileştirilebilir.
Yalnõzca çaprazlama yönteminin optimizasyonu yapõlarak çok daha küçük nesil
sayõlarõnda veya daha düşük Cmax değerli çözümlere ulaşõlabileceği gözlenmiştir.
KAYNAKLAR
CARLIER, J. (1978). Akõş Tipi Çizelgeleme Problemleri, ftp://mscmga.ms.ic.ac.uk /
pub / flowshop 1.txt
CHEN, C.L., VEMPATI, V.S., ALJABER, N. (1995). “An Application of Genetic
Algorithms for Flowshop Problems”, European Journal of Operational
Research, 80, 389-396.
CHENG, R., GEN, M., TSUJIMURA, Y. (1999). “A Tutorial Survey of Job Shop
Scheduling Problems Using Genetic Algorithms: Part II. Hybrid Genetic
Search Strategies”, Computers and Industrial Engineering, 37, 51-55.
CHOU, F.D., LEE, C.E. (1999). ”Two Machine Flowshop Scheduling with
Bicriteria Problem”, Computers and Industrial Engineering, 36, 549-564.
CICIRELLO, V.A., SMITH, S.F.. (2000). “Modeling GA Performance for Control
Parameter Optimization”, Genetic and Evolutionary Computation
Conference (GECCO 2000), July 8-12, 2000, Lasvegas, Nevada, USA.
CLEVELAND, G.A., SMITH, F.S. (1989). “Using Genetic Algorithm to Schedule
Flow Shop Release”, Proc. 3rd Int. Conf. On Genetic Algorithms
Applications, 160-169.
CROCE, F.D., TADEI, R., VOLTA, G. (1995). “A Genetic Algorithm for the Job
Shop Problem”, Computers and Operations.Research. Vol.22, No.1.
ENGİN, O. (2001). Akõş Tipi Çizelgeleme Problemlerinin Genetik Algoritma ile
Çözüm Performansõnõn Artõrõlmasõnda Parametre Optimizasyonu,
(Yayõmlanmamõş Doktora Tezi), İ.T.Ü. Fen Bilimleri Enstitüsü, İstanbul.
FRENCH, S. (1981). Sequencing and Scheduling, An Introduction to the
Mathematics of the Job Shop, Ellis Harwood Press, England.
GHEDJATI, F. (1999). “Genetic Algorithms for the Job-Shop Scheduling Problem
with Unrelated Parallel Constraints: Heuristic Mixing Method Machines and
Precedence”, Computers and Industrial Engineering, 37, 39-42.
GOLDBERG, D.E. (1989). Genetic Algorithms in Search Optimization and
Machine Learning, Addion Wesley Publishing Company, USA.
MURATA, T., ISHIBUCHI, H., TANAKA, H. (1996). “Genetic Algorithms for
Flow Shop Scheduling Problems”, Computers and Industrial Enginering,
Vol.30, No.4, 1061-1071.
REEVES, C.R. (1995). “A Genetic Algorithms for Flowshop Sequencing”,
Computers and Operations Research, Vol.22, No.1, 5-13.
36
WANG, D., GEN, M., CHENG, R. (1999). “Scheduling Grouped Jobs on Single
Machine with Genetic Algorithm”, Computers and Industrial Engineering,
36, 309-324.
CRISIS OF IDENTITY IN A PORTRAIT OF THE ARTIST AS A
YOUNG MAN
Ali GÜNEŞ
Kafkas University
A B S T R A C T :This paper examines two opposing views in terms of the
construction of identity in James Joyce’s A Portrait of the Artist as a Young Man.
First, Joyce sees the complex sense of historical forces, social institutions, culture,
religion and politics as influencing both the perception and behaviors of individuals
in the late nineteenth-century Irish society. Through the views of his fictional
character, Stephen Dedalus, therefore, Joyce criticizes the “nets” of the Irish society,
which limit individuals, never letting them express themselves freely. Secondly, the
paper focuses upon the shift in the sensibility and perception of Stephen Dedalus.
This shift enables him to expand psychologically and transcend not only beyond the
actual experience of the physical world for an ideal view of life but also beyond the
fixity of the traditional perception of identity. The paper suggests that Stephen
Dedalus is a modernist character: he seeks his own identity and meaning in the
complexity of modern experience through art, rather than accepting the identity
given to him by traditional society and culture.
Keywords: Politics, realism, subjectivity, modernism, identity
ÖZET : Bu makale, James Joyce’un A Portrait of the Artist as a Young Man adlõ
romanõnda kimlik oluşumu ile ilgili iki zõt görüşü irdeler. Yazar, ilk önce sosyal
kurumlarõ, kültür, din ve politikayõ toplum içinde bireyin davranõşlarõnõ etkileyen bir
karmaşõk ilişkiler bütünü olarak görür. Dolayõsõyla, Joyce, romanõn baş kahramanõ
Stephen Dedalus’un görüşlerini kullanarak bireylerin kendilerini özgürce ifade
edebilmelerini engeleyen 19.yüzyõl İrlanda toplumundaki sosyal kurumlarõ eleştirir.
Makale, daha sonra Stephen Dedalus’un toplum ve kendi kmligi ile ilgili
görüşlerinin değişmesine ve geleneksel kimliğinin ötesinde modernist bir kimlik
kazanmasõna yardõmcõ olan öznellik (subjectivity) görüşü üzerinde yoğunlaşõr.
Geleneksel dünya görüşünü kabul etmeyen Stephen Dedalus, sanatõ kullanarak kendi
kimliğini ve dünya görüşünü kendi kendine bulmaya çalõşõr.
Anahtar Kelimeler: Politika, gerçeklik, öznellik, modernizm, kimlik
The view of subjectivity has stirred up an important critical attention with regard to
the representation of thought, feeling and emotion in the novels of James Joyce
(Woolf, 1948: 190-95; Stewart, 1960: 19; Kettle, 1969: 301-14; Thornton, 1999:
103-30). Such attention also includes A Portrait of the Artist as a Young Man (1916)
where characters have imaginative or inner qualities (Crump, 1992: 223-40). In the
novel, Stephen Dedalus is caught up in his own private or inner consciousness; he
strives to create the ideal world of his own as visionary and free from the “nets” of
the blunt Irish society, which constrain and confine him deeply (Joyce, 1961: 327).
The novel seems to represent various complex experiences of Stephen that are
sometimes contradictory to each other. Joyce tries to bring these contradictory views
into harmonious unity throughout the novel. The constant vacillation of Stephen
from one experience to another as well as a strong tendency towards subjective
38
Ali GÜNEŞ
experience or self-creativity might undermine the basis of autonomous, selfcontained traditional identity. Like Joseph Conrad and Virginia Woolf, Joyce
disparages and abandons the narrow traditional notion of self in favor of a
fragmented and unstable view of self; he represents Sephen as visionary and fluid
within the complexities of his modern experiences in A Portrait.
In the novel, Joyce emphasizes imaginary vision, creativity and sensibility. These
qualities may enable the artist to perceive the meaning of life beyond actual
experience. Joyce attempts to develop such qualities in A Portrait, yet critics have
been generally ambivalent in their views: is Stephen different from the characters
that realist writers portrayed in their fiction? They compare the novel to William
Wordsworth's Prelude (1850), the subtitle of which is The Growth of a Poet's Mind.
Weldon Thornton, for example, considers Joyce's A Portrait “within the context of
the genre it so exemplifies - the Bildungsroman”, that is, a novel that deals with the
psychological and emotional development of its protagonist, tracing his life from
inexperienced youth to maturity (1999: 65). He argues that Joyce represents Stephen
as withdrawing into his inner world, yet such experiences are not very common in A
Portrait when it is compared to Ulysses (1922). In Thornton's view, Joyce, like
Wordsworth, may focus upon the progress of Stephen’s life from childhood to
maturity in a linear narrative (1999: 70). Moreover, John Paul Riquelme makes a
similar comment upon Joyce's narrative strategy in A Portrait. He suggests that
“there is little or no transition from one situation to another”, so that Joyce,
according to him, does not represent Stephen’s life as diverse and fluid (Riquelme,
1993: 117). Furthermore, J. I. M. Stewart considers Stephen “a highly unified
creation” in A Portrait (Stewart, 1960: 19). For these critics, therefore, Joyce
follows a realist linear narrative and constructs a recognizable view of character
when he pursues closely the development of Stephen. In her famous essay “Modern
Fiction” (1919), however, Woolf, though ambiguous regarding his success, singles
out Joyce as the most notable modernist writer (1966: 330). In her view, he
abandons the methods of realist writers. As a modernist writer, Joyce, like Woolf,
attacks realist writers and finds their methods and techniques useless for
representing reality and character in modernist fiction. The dissatisfaction of
modernist writers with realist writers derives mainly from the fact that they
constructed their characters by telling observable facts about a character's dress,
appearance, social and material circumstances; they tried to represent reality and life
as true and convincing. Modernist writers believe that the close attention to outside
facts prevents the writer from looking at other aspects of reality and life. Like other
modernist writers, therefore, Joyce overthrows the traditional methods and
techniques of novel writing. Woolf identifies Joyce as “spiritual”, in which he frees
modernist fiction from “the accepted style” of his predecessors (1948: 189). Woolf
asserts that Joyce “is concerned at all costs to reveal the flickerings of...[the]
innermost flame which flashes its messages through the brain” (1948: 190). What
she may suggest is that Joyce is the writer as “free man” who bases his work “upon
his feeling and not upon convention” and whose fiction supplies “no comedy, no
tragedy, no love interest or catastrophe in the accepted style” (1948: 189).
This paper examines two interacting views in terms of the construction of identity in
A Portrait. First, Joyce sees and represents the complex sense of historical forces,
Crisis Of Identity In A Portrait Of The Artist As A Young Man
39
social institutions, culture, religion and politics as influencing obviously the
behaviors and perception of individuals in society. He observes culture, politics and
religion as irrational and brutal organisms, which crush and destroy the qualities of
the private world such as love, sympathy, warm relations and art. Through the views
of Stephen, therefore, Joyce criticizes the “nets” of the late nineteenth-century Irish
society, since these “nets” produce not only human identity, but they also prevent
individuals from expressing themselves freely. Thus, Stephen desires profoundly to
run away from the constraint of these “nets”. Secondly, the paper focuses upon “the
quick of [Stephen’s] mind” in A Portrait. Like Woolf, Joyce searches for “the dark
places of psychology” through “the quick of the mind” (Woolf, 1948: 191-2). Joyce
may chase the development of Stephen, yet he does not give a full picture. Unlike a
realist novel, A Portrait ends when Stephen is halfway through his development.
Moreover, Stephen strives constantly and imaginatively throughout the novel “to
encounter for the millionth time the reality of experience and to forge in the smithy
of my soul the uncreated conscience of my race” (Joyce, 1961: 367). In Stephen’s
desire to meet “for the millionth time the reality of experience” as fluid and
spontaneous, Joyce might successfully undermine the basis of a predetermined
identity and represent the richness of personality. This richness allows the self to go
beyond itself in the complex process of time's fluidity. Stephen thus rejects what
shapes and limits his perception and life in the traditional Irish society, so that he
moves constantly from one perception to another for “a new scene” or “a new wild
life” in the process of re-constructing and re-working his own identity (232, 303).
Hence we do not really know what happens to Stephen in his pursuit of “the reality
of experience” after the age of twenty. In A Portrait, it may be suggested that Joyce
as a modernist writer explores the arbitrary representation of reality and life, the
conflict between social values and human desire for transcendence and the tension
between fixed identity and the unstable self.
In A Portrait, Joyce represents a new view of character and explores the role of art
in society. In doing so, he, like other modernist writers, avoids direct narration in the
novel that used to be the main narrative technique in a typical nineteenth-century
realist novel. He develops a new view of narrative as fluid and flexible. In this new
narrative technique that he developed further in Ulysses, Joyce vacillates constantly
between outer narrative and inner investigation of his characters' thoughts without
the intrusion of connecting links. Each dialogue begins to interweave with narrative
or descriptive writing, and thus the reader may find himself attending at one and the
same time to a conversation between characters and to what is going on in their
minds. Like Woolf, Joyce does not cut himself off completely from the external
world, yet the process continues simultaneously all the time: he unites the fictional
with the actual world more convincingly by being as flexible as possible in
narrative. Unlike Daniel Defoe's Robinson Crusoe (1719), therefore, Joyce does not
start A Portrait: “Stephen Dedalus was born in February 1882 in Rathgar, Dublin,
the eldest son of John Simon Dedalus”. There is no clear and direct statement in the
life story of Stephen. Instead, the first section begins with the voice of Stephen's
father who tells a bedtime story. The second section gives the description of a school
playground swarming with boys (177). Moreover, Joyce does not give Stephen's
rejection of Catholic Church, his family and country through a direct statement, yet
the reader learns it through the lives and views of his fictional characters as well as
40
Ali GÜNEŞ
through the views of the characters about each other. In A Portrait, therefore, Joyce
not only uses Stephen to show his own rebellion against the restraint of social
institutions and conventions, but he also embodies his own interpretation of the kind
of life when Stephen desires strongly to escape beyond his unsatisfactory and
fragmentary relationships with society, religion, politics and culture through the
interrelation of vision and art.
In A Portrait, Joyce represents the world of politics, nationalism and much of
culture with some discourses, images and myths showing that they constitute and
rule the conditions of individual existence. Nationalism, culture and religion are
profoundly dominant elements in the social life of late nineteenth-century Ireland.
They stultify and restrain individuals. Hence the traditional, national and religious
values in Irish society apparently influence young Stephen’s early perception and
development. When the novel begins, Stephen is a small boy at the age of six. He
attends Clongowes Wood College, a Jesuit Boarding School, which is haunted by
the ghost of Irish rebels. Moreover, the living shadow of Parnell, Irish political
leader, falls across his awakening consciousness. In his boyhood, Stephen sees his
elders as bitterly divided in their consciousness in terms of religion and politics. At
his first Christmas dinner table during the Christmas vacation, for example, he
listens silently but vigilantly to Mr. Casey, Uncle Charles, Dante, his father and
mother while they are talking and arguing about religion and politics. There are
bitter disputes between Catholics and Protestants in Northern Ireland. Dante is a
widow who was brought into the Joyce household to be a governess. She is a fierce
partisan of the clergy. In his early life, Stephen is influenced by her religious views.
As a devout catholic, Dante thinks that priests must warn the people, direct their
lives and tell them “what is right and what is wrong” (195). In her view, a priest is
“the apple of God's eye”. Also “God and religion [are] before everything” (201).
Moreover, Dante thinks that religion must shape social and political life in
accordance with divine principles, yet Mr. Dedalus and Mr. Casey appear as
secularist and strongly oppose her view of religion and life. They want religion not
to “meddle in politics” (196). In their views, politics and religion must be separate
from each other. Mr. Casey exclaims that “no God for Ireland! We have had too
much God in Ireland. Away with God!” (202). Stephen watches silently their fierce
arguments and listens to the language that they use. As a small boy, he becomes
thrilled by their discussion, but he begins to construct his own perception by asking
himself secretly some questions: why is Mr. Casey against religion? Why does
Dante not like Protestants? Who is right and who is wrong? Joyce represents these
fictional characters as opposed to each other, yet what is important is that he
illuminates his own ambivalent views about religion and politics through his
characters without a direct intrusion.
Moreover, Joyce gives further the crippling effect of religion upon Stephen's
consciousness. Stephen leaves Clongowes Wood College due to the severe financial
problem of his family. A friendly priest arranges for him to get a free place at
Belvedere, a Jesuit day school in Dublin. Like the previous one, however, this
school is also full of conventional and religious values. There he becomes interested
in girls, yet he is shy and unresponsive when he is actually in close company with
Emma Clerk, a girl who attracts him. His various frustrations come to a head one
41
night when he meets a prostitute in the street. She takes him to her room to initiate
him to sex. But Stephen feels morally uncomfortable and guilty, because he
considers his action a big sin in relation to religion (251). When he attends a school
meeting organized in honor of saint Francis Xavier, the priest's hell-fire sermons
move him to anguished self-disgust and terrified remorse: “the faint glimmer of fear
became a terror of spirit as the hoarse voice of the preacher blew death into his soul.
He suffered its agony...the bright centers of [his] brain extinguished one by one like
lamps” (257-8). The meeting brings about a religious crisis as well as a kind of
disturbance in Stephen's consciousness. He feels as if the preacher talked of him; he
thinks, “against his sin, foul and secret, the wrath of God was aimed”. The preacher's
knife “had probed deeply into his disclosed conscience, and he felt now that his soul
was festering in sin” (260). After listening to the sermon on death, hell and
judgment, Stephen becomes very frustrated. Then he goes to his room and wants to
be alone. When his frustration increases due to his feeling of sin and guilty, his mind
is filled with darkness and despair under the gloomy views of Catholic doctrines. He
longs for getting rid of his aggravation. In order to assuage the confusion of his
feeling, he strives to pray secretly in his room. But Stephen is unable to abstain
himself from what the priest has told of sin, hell and judgment. The bodily unrest,
chill and weariness encompass his thoughts and feeling; Stephen longs for soothing
urgently his agitated feeling. Eventually he looks for a church to confess to his sin.
He does it. His confession comforts him psychologically, and thus he feels himself
at ease due to the view that he is purified of the psychologically crippling effect of
sin. Stephen finds peace again in his feeling: “he knelt...sinless and timid: and he
would hold upon his tongue the host and God would enter his purified
body...Another life. A life of grace and virtue and happiness! It was true. It was not
a dream from which he would wake. The past was past” (284).
This view of “another life, a life of grace and virtue and happiness” leads to
religious tendency in Stephen. He endeavors to remodel his life in line with the
pattern of perfection taught by the Church. He thus devotes himself to the religious
life under a strict self-discipline that denies his most powerful aspirations towards a
new life and beauty: “every morning he hallowed himself anew in the presence of
some holy image or mystery. His day began with a heroic offering of its every
moment of thought or action for the intention of the sovereign pontiff and with an
early mass” (284). Stephen feels that his sinful soul is purified and raised up from its
weakness. Thus, he believes that every bounty such as wisdom, understanding and
knowledge will descend upon him as long as he dedicates himself to the divine love
of God. “Gradually, as his soul was enriched with spiritual knowledge, he saw the
whole world forming one vast symmetrical expression of God's power and love. Life
became a divine gift for every moment and sensation...” (286). For him, the
complexity of life no longer exists. The divine meaning in all nature granted to his
soul is complete and unquestionable. Then he is offered, “to join the order” to be a
priest (292).
When he grows up, however, Stephen comes to realize that his future cannot be in
subjection to an ordered system as in Church. In his view, the Irish Catholic Church
is provincial, narrow and hostile to what he considers important: “freedom and
justice”. Gradually, therefore, his soul becomes unable to harbor religious principles
42
Ali GÜNEŞ
or views for any time though he forces his lips to utter them with conviction. It gives
rise to a view of crisis in Stephen, since he thinks that the fixity of religious rules
both confines individuals and cripples their feelings. Hence a sense of sickness and
“unrest” begins again “to irradiate” his being and consciousness: Stephen gathers his
impressions of religion and priesthood as well as of the division which religion and
politics have brought about in the consciousness of Irish people (295). At once, “a
feverish quickening of his pulses followed…and a din of meaningless words drove
his reasoned thoughts hither and thither confusedly” (295). Thinking himself as “the
Reverend Stephen Dedalus, S. J.” extremely disturbs him in the sense that many
years of order and obedience will restrain what he considers important: “the
expansion of life” and “his freedom” (296). While walking before the Jesuits’ house
in Gardiner Street where the priests generally live, he contemplates and recalls the
voice of priest offering him to join the order, yet he feels that “his soul was not there
to hear and greet it…and he knew now that the exhortation he had listened to had
already fallen into an idle formal tale” (296).
Moreover, Stephen's weariness of life becomes more obvious when he starts
university. He views the life offered to him as stagnant, dull and painful, so that he
hopes of better things in life. As soon as he leaves his father at a public house, for
example, Stephen walks towards the river and sea. There he perceives other aspects
of life different from what he is offered:
The university! So he had passed beyond the challenge of the sentries who had stood
as guardians of his boyhood and had sought to keep him among them that he might be
subject to them and serve their ends. Pride after satisfaction uplifted him like long
slow waves. The end he had been born to serve yet did not see had led him to escape
by an unseen path and now it beckoned to him once more and a new adventure was
about to be opened to him. It seemed to him that he heard notes of fitful music leaping
upwards a tone and downwards a diminished fourth, upwards a tone and downwards a
major third, like triple branching flames leaping fitfully, flame after flame, out of a
midnight wood. It was an elfin prelude, endless and formless; and, as it grew wilder
and faster, the flames leaping out of time, he seemed to hear from under the boughs
and grasses wild creatures racing, their feet pattering like rain upon the leaves. Their
feet passed in pattering tumult over his mind, the feet of hares and rabbits, the feet of
harts and hinds and antelopes, until he heard them no more and remembered only a
proud cadence from Newman:
- Whose feet are as the feet of harts and underneath the ever-lasting arms (298).
Stephen's views are fluid; they are “leaping”, wave-like, then flames, racing
creatures. All these views suggest the variety and diversity of his perception of life.
In the moment of the vision on the beach, therefore, he sees his destiny as manifest;
he realizes his destiny; Stephen hears his name, Dedalus, called out, and the name
seems to be prophetic:
At the name of the fabulous artificer, he seemed to hear the noise of dim waves and to
see a winged form flying above the waves and slowly climbing the air...a hawk like
man flying sunward above the sea, a prophecy of the end he had been born to serve
and had been following through the miss of childhood and boyhood, a symbol of the
artists forging anew in his workshop out of the sluggish matter of the earth a new
soaring impalpable imperishable being...(301)
43
Stephen thus becomes “elusive of social or religious order” (296), because he
notices gradually that both “religious order” and Dublin, which are the tangible and
centers of his nationality, have failed to provide him with a vision of reality
corresponding with his own experience. He seeks a vision beyond the actual
experience of life; it is adventurous, mysterious and flying. Eventually he tells his
classmate, Cranly, that he “has lost the faith” ( 359). It shocks Cranly.
That Stephen “has lost the faith” derives mainly from the fact that religion
suppresses and confines individuals within its certain and authoritative rules. In his
views, these rules make them unable not only to express themselves freely, but they
also prevent individuals from seeing other facets of life as well as other beautiful
things beyond them. Hence Stephen wants “the mind of man independent of all
religion” and of the pettiness, treacheries and vindictiveness of Irish nationalism and
politics (324). Through his representation of Stephen, Joyce shows us his own break
up with the Catholic Church, but he also encounters the loss of a world of public
values. David Daiches argues that the major pre-Jamesian novelists such as Fielding,
Richardson, Austen, Dickens, Thakeray, Eliot, Trollope, Hardy and Meredith tend to
leave us with a sense of public significance, a sense that objective moral judgment is
both possible and necessary, a sense that the norms of their fictional worlds share a
common ground of public values, but Daiches continues to assert that modernists
writers, James, Conrad, Ford, Lawrence, Joyce and Woolf, tend to leave us adrift, to
cut us off from judgments based upon shared moral standards in society. In
Daiches’s view, modernists writers cannot share a common solution to the problems
of the twentieth century, yet each pursues their own unique solution to their modern
experiences by showing us that it is not possible to build up a common view of life
(Daiches, 1967: 5). Dorothy Van Ghent makes a similar comment:
In a time of crisis, traditional values no longer seem to match at any point with the
actualities of experience, and when all reality is therefore thrown into question, the
mind turns inward on itself to seek the shape of reality there - for the thinking and
feeling man cannot live without some coherent schematization of reality. Here at least
- in one's own memory, emotion and thought - is empirical ground for such an
investigation (1953: 263).
These two views may suggest that a modernist novel, unlike a traditional one, leaves
the reader adrift when there is no publicly shared common ground. Thus, it will be
impossible for the reader to reach a final judgment of both reality and life. Van
Ghent continues to argue that the date 1914 for Joyce's A Portrait conveys its own
apparent implication: it marks “a time of shocking disclosure of the failure of the
social environment as a trustworthy carrier of values” (1953: 263). Indeed, Joyce
develops a view of the alienation of the artist in the complexity of the early
twentieth century. For him, the artist must be outside all the conventions and all
normal society. This view has two reasons. First, those conventions and society that
Joyce found in Dublin represented a “paralysis”, a dead set of gestures having no
meaning in terms of genuine human experience. Secondly, the artist must be outside
society in order to be objective: he must be objective if he is to adopt the peculiar
microcosmic view, which is the way that enables Joyce, like Virginia Woolf in
Orlando (1928), to solve the complex modern problems. Therefore, Stephen as a
44
Ali GÜNEŞ
modern artist yearns for remaining outside and thus critical of “nets” of society
without integrating himself into its limiting and narrowing rules. He rejects them
deeply and thoroughly. Moreover, as an outsider he is also disinterested in rituals
and moral values, which confine and manifest to his life a form, a unity and
direction. However, Joyce's views, like that of Woolf, do not imply a turning away
from the politics and social issues of his own time. When Stephen gains
psychologically more freedom and becomes bolder in his mind, he turns round on
politics and religion to question the status quo and its social code that control him.
For him, therefore, “a retreat...signifies a withdrawal for a while from the cares of
our life, the cares of this workaday world, in order to examine the state of
conscience, to reflect on the mysteries of holy religion and to understand better why
we are here in this world” (Joyce, 1961: 256).
Joyce makes use of his fictional character, Stephen, both to explore an oppositional
way of perceiving the world to that of religion and nationalism and to offer a
modernist representation of personality as complex, diffuse and unfixed. Stephen's
fluid uncertainty is the opposite of Dante and Cranly's coherent views of life,
religion and politics. The uncertainty and complexity of Stephen's view derives
predominantly from his deep concern about life. Indeed, the novel explores the
culturally determined view of life in the early decades of the twentieth century. As
he explains to his friend, Davin, Stephen desires to escape from this dim view of
Irish culture:
This race and this country and this life produced me...The soul is born...It has a slow
and dark birth, more mysteriously than the birth of the body. When the soul of a man
is born in this country there are nets flung at it to hold it back from flight. You talk to
me of nationality, language, and religion. I shall try to fly by those nets (327).
Joyce focuses upon two such “nets” in terms of the construction of identity in
society. On the one hand, he emphasizes that they are prescribed specific rules in the
late nineteenth-century Victorian Irish society, which shape individuals as
autonomous and fixed. Individuals have to admit a particular identity given to them
by society and culture, and thus they are not allowed to be free to determine their
own lives, to express themselves freely, but the existing “nets” of society force them
to accept what they are given. In this respect, Joyce's representation of Dante and
Cranly becomes not a mere debate of their individual views but a wider
consideration of the structure of Irish society and of its politics, a consideration
focused on the issues of individual identity, politics and religion. On the other hand,
Joyce endows young Stephen with a strong desire to transcend this culturally
determined view of life; he enables his character to gain the expansion of his views
by directing his passion and energy towards another quality of life, a quality which
is related to the visionary imagination or the inner (subjective) world as in the
Romantics. Thus, this quality provides Stephen with the means of enlarging and
going beyond a psychologically restricted sense of life. He endeavors to gain
intellectual freedom or what he calls “aesthetic intellection” by forsaking “absurdity
which is logical and coherent” and embracing “one which is illogical and
incoherent” (314, 359): Stephen “wanted to meet in the real world the unsubstantial
image which his soul so constantly beheld” (p. 222).
45
The view that Stephen favors “unsubstantial”, “illogical and incoherent” in life
suggests clearly a modernist perception of identity as fluid and uncertain. This view
of life as “fluid and impersonal” frees him from the enclosure of the fixed self. It
gives Stephen an understanding that the largeness will suffice for him to harmonize
the spiritual and fleshly sides of his nature with the outer world. Moreover, it will
also enable him to rise above the vulgarity of his environment, particularly above the
“nets” of society: “A new wild life [sings] in his veins”, and he cries, “to greet the
advent of the life that had cried to him” continuously (301, 303).
Stephen's view of “a new wild life” rejects the “race” and “country” that strive to
construct him. For the sake of this “new life”, indeed, he refuses decisively what
constrains him. Thus, he speaks frankly of his rejection when his friend, Cranly,
asks him about his “point of view” of life:
Look here, Cranly, he said. You have asked me what I would do and I would not do. I
will tell you what I will do and what I will not do. I will not serve that in which I no
longer believe, whether it call itself my home, my fatherland, or my church: and I will
try to express myself in some mode of life or art as freely as I can and as wholly as I
can, using for my defense the only arms I allow myself to use - silence, exile and
cunning...I will tell you also what I do not fear. I do not fear to be alone to be spurned
for another or to leave whatever I have to leave. And I am not afraid to make a
mistake, even a great mistake, and a lifelong mistake and perhaps as long as eternity
too...I will take the risk...(362).
Clearly Stephen demands freedom, in which he can be creative as an artist. Having
rejected his home, country and church, therefore, he remains outside of the dominant
cultural, political and religious “nets” of society. In A Portrait, the Romantic
yearning for such a utopian “new wild life” becomes a dream of change for Stephen.
Throughout the novel, Stephen is presented to us with an “intimacy and immediacy”
(Stewart, 1960: 18). He often feels himself “drifting amid life like the barren shell of
the moon” (Joyce, 1961: 245). He seeks privately a new view of life that will soothe
his complex and anxious feelings. The reader thus chases him through the stages of
breakdown and increasing confusion in his external environment as he sees the
inherited values as shattering; Catholic Church loses its authority over his emotion.
When he starts Clongowes Wood College in chapter I, for example, Stephen finds
himself amid Irish nationalists, who had rebelled against the British presence in
Ireland. But he becomes disturbed due to the fact that the politics has divided people
enormously. In his view, they always stay within the vicious circle of argument and
division without transcending themselves for the beauty of life. This view of politics
both pains and makes him feel himself “small and weak”. What Stephen longs for in
life is to become “like the fellows in poetry and rhetoric” as free even though “that
was very far away” (184). In the next three chapters, therefore, Joyce represents
Stephen in a way that he abandons Irish nationalism, politics and religion:
He mistrusted the turbulence and doubted the sincerity of...comradeship, which
seemed to him a sorry anticipation of manhood. The question of honor here raised
was, like all such questions, trivial to him. While his mind had been pursuing its
intangible phantoms and turning in irresolution from such pursuit he had heard about
him the constant voices of his father and of his master, urging him to be a gentleman
above all things and urging him to be a catholic above all things. These voices had
46
Ali GÜNEŞ
now come to be hollow sounding in his ears. When the gymnasium had been opened
he had heard another voice urging him to be strong and manly and healthy and when
the movement towards national revival had begun to be felt in the college yet another
voice had bidden him to be true to his country and help to rise up her language and
tradition. In the profound world, as he foresaw, a worldly voice would bid him raise
up his father's fallen state by his labors and, meanwhile, the voice of his school
comrades urged him to be a decent fellow, to shield others from blame or to beg them
off and to do his best to get free days for the school. And it was the din of all these
hollow sounding voices that made him halt irresolutely in the pursuit of phantoms. He
gave them ear only for a time but he was happy only when he was far from them,
beyond their call, alone or in the company of phantasmal comrades (236).
In the quotation, Joyce clearly represents the whole condition of Stephen as a
modernist character. Stephen is not coherent and fixed, yet he constantly vacillates
between the “hollow sounding” voices, which desires him to be like a person that
society demands and his own chase of “the intangible phantoms” or “another voice”
that will lessen his oscillation in life. Hence Stephen is unable to establish a stable
and harmonious view of life throughout A Portrait. This suggests his fragmentation
as he fluctuates constantly between these two desires. Through this representation,
Joyce, like Woolf, shows us that human identity is not something that can be
grasped and described easily. Stephen is not only unknown to himself but also to
those around him. His life is entangled in his desire, frustration and intense
awareness of the complexity of life. After reviewing and examining his own life
with regard to the hollow sounding voices of his father, his school friends and
country, Stephen comes to realize that cultural and religious values of Irish society
cannot be solutions to his perception of life. Thus, he must deny the hollow
sounding voices other than the “intangible phantoms”. The image of Stephen's
vision as 'intangible phantoms' cannot be described as it is simultaneous, poetical
and incommunicable in words, yet what is important for him is to assert what he is
through these “intangible phantoms”. He refuses the hollow sounding voices of what
limits him, so that he realizes the need to escape these voices of nationalism, politics
and religion. On the other hand, the views of “a new wild life”, “intangible
phantoms” and “another voice” fascinate him; he feels that he may get rid of the
tutelage of the Jesuits as well as of the mental separation and division only by taking
refuge in these views. Stephen's yearning for “a new wild life”, “intangible
phantoms” or “another voice” in a free world projects an image of another life and
identity in a perfect future.
For the “another voice” of life, therefore, Joyce focuses upon the subjective
experience of his character, which transforms his life into art. The fragmentation and
vacillation is a basic condition of Joyce's artistic creativity, since he is in the process
of re-constructing and re-working these fragments into “the essence of beauty”
(306): “to live, to err, to fall, to triumph, to recreate life out of life” (303). Like
Woolf, Joyce sees the task of the modernist writers as creating out of fragments. In
A Portrait, for example, Stephen explains Joyce's view of art to Lynch:
We are right...and the others are wrong. To speak of these things and to try to
understand their nature, and having understood it, to try slowly and humbly and
constantly to express, to press out again, from the gross earth or what it brings forth,
from sound and shape and colour which are the prison gates of our soul, an image of
47
the beauty we have come to understand - that is art...Art...is human disposition of
sensible or intelligible matter for an aesthetic end (330).
“The object of the artist”, Stephen explains, is to create “beautiful” (314). The
“aesthetic intellection” or art means not only Stephen's way of life but also a
criticism of the life he has known so far. Through art, he desires to analyze and
perceive life aesthetically. Having moved outside himself and the boundaries of
politics, nationalism and religion of Irish society, Stephen perceives “his soul...in
flight” (301). The creative impulse enables Stephen not only to escape from the
bleak vision of life but also to represent “a progressive attempt to build a free self
out of the plethora of influences, impulses and discourses which [he] experiences”
(Brown, 1989: 36). The view of “a free self” not only subverts the basis of fixed
identity, but it will also provide him with imaginative or poetic understanding of his
world and life, a “mode of life or of art whereby...[his] spirit could express itself in
unfettered freedom” (Joyce, 1961: 361).
The imaginative and poetic inspiration to apprehend life and reality permeates
Stephen's thoughts throughout A Portrait. Joyce endows him with the creative
impulse to escape from the bleak vision of the present moment caused by his anger:
“the causes of his embitterment were many, remote and near. He was angry with
himself for being young and the prey of restless foolish impulses, angry also with
the change of fortune which was reshaping the world about him into a vision of
squalor and insincerity” (223). The imaginative vision thus enables him to find a
world of peace and harmony when he is impatient with the meanness and sordidity
of his country, family, religion and nationalism. As a child at Clongowes Wood
School, Stephen likens “nice sentences” in “Doctor Cornwell's Spelling Book” to
“poetry” (179). Moreover, Stephen, unlike other boys, likes and writes poetry on the
flyleaf of his geography book about the universe. Through the vision created by
poetry, he longs for transcending the actual universe and seeks a new relation or life
beyond it:
What was after the universe? Nothing. But was there anything round the universe to
show where it stopped before the nothing place began? It could not be a wall but there
could be a thin line there all rounds everything. It was very big to think about
everything and everywhere. Only God could do that. He tried to think what a big
thought that must be; but he could think only of God. God was God's name just as his
name was Stephen (183-4).
In addition, when he is at the university college in Dublin, Stephen constantly reads
the poetry of the past, the poetry of Aristotle, Plato and Aquinas (306, 314, 331-2) as
well as the poetry of Romantic poets, Lord Byron and Shelley, in which he not only
becomes able to stand back from life and to achieve a symbolic distance from the
limitation of self, but he also imagines and desires to find a sense of unity and
harmony under his uncertain, fragmented and confused feelings (pp. 226, 246, 335).
Stephen is profoundly influenced by the views of these poets. For him, they were
highly imaginative, poetic and creative, which enabled them to catch “the beauty” as
“the splendor of truth” in their writings (331). For example, Stephen writes, “some
essay about beauty” (334). In his essay, he tries to create “universal beauty” and
poetic harmony just as Aquinas represented in his writings, especially in Summa
48
Ali GÜNEŞ
Theologica. While explaining the meaning of the beauty to Lynch, Stephen appears
clearly excited by Aquinas's views of universal beauty and wholeness: “...the most
satisfying relations of the sensible must...correspond to the necessary phases of
artistic apprehension. Find these and you find the qualities of universal beauty.
Aquinas says: Three things are needed for beauty, wholeness, harmony and
radiance. Do these correspond to the phases of apprehension?”(334). Like Aquinas,
Shelley retains a significant fascination for Stephen as an imaginative poet. Stephen
is deeply involved in a continuous reading of Shelley throughout A Portrait. When
he perceives the external world as chaotic and fragmented, Stephen “repeated to
himself the lines of Shelley's fragments: Art thou pale for weariness / Of climbing
heaven and gazing on the earth, / wandering companionship...” (246). Moreover,
Stephen refers to Shelley's A Defence of Poetry (1840) while describing the mind of
the artist to Lynch:
The artist feels this supreme quality when the aesthetic image is first conceived in his
imagination. The mind in that mysterious instant Shelley likened beautifully to a
fading coal. The instant wherein that supreme quality of beauty, the clear radiance of
the aesthetic image, is apprehended luminously by the mind which has been arrested
by its wholeness and fascinated by its harmony is the luminous silent stasis of
aesthetic pleasure...(335)
Through the poetic vision or aesthetic apprehension, the artist becomes “like the
God of creation, remains within or behind or beyond or above his handiwork,
invisible, refined out existence, indifferent, paring his fingernails” (337).
The poetic vision and aesthetic apprehension becomes very important for Stephen,
providing him with the capacity to escape both the limitation of his home, country,
church and agony in an age, which Woolf describes in The Years (1937) “loosened
screws and made the whole apparatus of the mind rattle and jingle” (1968: 261).
Moreover, this vision makes him bold and enables him to gain freedom, in which he
will be able to express himself freely, rather than accepting what he is ascribed by
society and its culture.
In A Portrait, the representation of Stephen becomes a means for Joyce to represent
a view of self in crisis in the early decades of the twentieth century. He does not
represent Stephen as complete and coherence throughout the novel. Stephen is
continuously seen either as revolting against the cultural, political, family and
religious establishment in the late nineteenth-century Irish society or as fragmented
and fluid in his desires of freedom, intellectual beauty and harmony. But he is
unable to get them within the existing values. Hence Stephen is a whirlpool where
all possible descriptions are broken down, and all his struggles are not to find
himself in any pregiven framework of life. He rejects all ideological, cultural and
religious pressures and “nets” of society to express himself freely, because these
traditional values demand a sense of identity, which is limited, fixed and static with
boundaries surrounding people. Stephen thus isolates himself extremely from
society, which fails to be an objective, stable validation to inherited structures of
belief, yet he prefers “to meet in the real world the unsubstantial image which his
soul so constantly beheld” (Joyce, 1961: 222). The view of “the unsubstantial
image” disrupts clearly the boundaries of “logical and coherent” worldview of life
49
(359). Instead of the identity and meaning constructed by traditional values, Stephen
strives to discover his own vocation as subjective in life: he tries to find out his own
meaning of life by means of intellectual analysis, rather than accepting blindly the
“nets” of society. In A Portrait, Joyce suggests that the traditional stability of
character dissolves and disappears, giving way to a view of identity as
indeterminate, unfinished, insubstantial, vague and inconclusive in accordance with
the varying and complex modern experience.
REFERENCES
CRUMP, I. (1992). “Refining himself out of existence: the evolution of Joyce's
aesthetic theory and the drafts of A Portrait”', Joyce in Context, Vincent J. Cheng
and Timothy Martin (eds), Cambridge: Cambridge University Press.
DAICHES, D. (1967). The Novel and the Modern World, Chicago: Phoenix Books.
JOYCE, J. (1961). The Essential James Joyce, London: Jonathan Cape.
KETTLE, A. (1969). “The Consistency of James Joyce”, The Pelican Guide to
English Literature: The Modern Age, Boris Ford (ed), Harmondsworth: Penguin.
RIQUELME, J. P. (1993) “Stephen Hero, Dubliners, and A Portrait of the Artist as
a Young Man: styles of realism and fantasy”, The Cambridge Companion to
James Joyce, Derek Attridge, (ed), Cambridge: Cambridge University Press.
STEWART, J. I. M. (1960). James Joyce, London: Longmans, Green & Co. Ltd.
THORNTON, W. (1999). The Antimodernism of Joyce's Portrait of the Artist as a
Young Man, Syracuse, N. Y.: Syracuse University Press.
VAN GHENT, D. (1953). The English Novel: Form and Function, London: Harper
Torchbooks.
WOOLF, V. (1948). “Modern Fiction”', The Common Reader: First Series,
London: The Hogarth Press.
----------------. (1966), “Mr. Bennett and Mrs. Brown”, Collected Essay, Leonard
Woolf (ed), Vol. 1, London: Chatto & Windus.
----------------. (1968), The Years, Harmondsworth: Penguin.
THE MISI RURAL DEVELOPMENT PROJECT
AND
AREA’S RECREATIONAL VALUE BASED ON CONTINGENT
VALUATION METHOD
Serkan GÜRLÜK
Uludag University, Agricultural Faculty
Agricultural Economics Department
ABSTRACT: In the long term, the Industrial Revolution had caused the welfare
increases in the urban areas and decreases in the rural areas. The weak rural society
who live with the nature had started to exhaust and destroy the natural resources
excessively. To alleviate the pressure upon natural resources and increase the
welfare level Rural Development Projects had been put on the agenda by the
Developing Countries. However, in developing countries, environmental benefits
and costs have not included the project analysis, furthermore environmental
evaluation has been desired a luxury concept. The aim of this study is to put forward
the environmental impacts of the rural development project prepared for the Misi
Settlement which has recreational areas and natural beauties, and shed light on local
governments.
Keywords: Rural society, rural development projects, environmental evaluation
ÖZET: Sanayi devrimi, uzun dönemde kentsel alanlarda refah artõşlarõna, kõrsal
alanlarda refah azalmalarõna neden olmuştur. Doğa ile birlikte yaşayan yoksul kõrsal
toplum doğal kaynaklarõ aşõrõ bir şekilde tüketmeye ve yok etmeye başlamõştõr.
Doğal kaynaklar üzerindeki baskõyõ azaltmak ve kõrsal kesimin refah düzeyini
yükseltmek için kõrsal kalkõnma projeleri gelişmekte olan ülkeler tarafõndan
gündeme alõnmõştõr. Ancak gelişmekte olan ülkelerde, proje değerlemede çevresel
fayda ve masraflar proje analizine katõlmamakta, ayrõca çevresel değerleme lüks bir
kavram olarak görülmektedir. Bu çalõşmanõn amacõ, Bursa yakõnõndaki doğal
güzelliklere ve Rekreasyon alanlarõna sahip Misi Yerleşimi için hazõrlanan kõrsal
kalkõnma projesi ve çevresel etkilerini ortaya koymak ve yerel yönetimlere õşõk
tutmaktadõr.
Anahtar Kelimeler: Kõrsal toplum, kõrsal kalkõnma projeleri, çevresel değerleme
1. Introduction
Every type of economic activity affects the environment to some extent; they are
intrinsically linked. Changes in the economy in the form of changes in technology,
consumption patterns, investment levels, international trade links, spatial relocation,
macroeconomic policy, etc., will all have an impact, sometimes profoundly, upon
the natural environment. This situation in turn will affect human well-being (Kula
1994: 5-6).
In developing countries, the idea that environmental control is a luxury that can wait
for another decade is no longer valid (Çetin and Rehber, 1999). Environmental
52
Serkan GÜRLÜK
problems are most acute in developing world and sometimes the survival of
thousands of poor people depends upon the quality of the environment they live in
(Hartwick and Olewiler, 1986).
Today, environmental damage now has an important part to play in environmental
economics for some of reasons:
i.The valuation makes it clear that the environment is not an infinite and free
resource, even in the absence of well-established markets. Especially when projects
are making substantial claims on the environment, the valuation of such claims
signals the growing scarcity of the environmental input.
ii.Development proposals that are in conflict with conservation will be judged from
a better perspective when all environmental impacts are considered.
iii.When restoration of an environmental quality is considered, valuation can provide
a true picture about the economic worth of projects, the performance of a region or
the nation as a whole.
2. Economic Valuation Methods and the Concept of Contingent Valuation
Method
2.1. Economic Valuation Methods
A number of techniques are available to value environmental goods in economic
terms. Figure 1 shows these techniques and illustrates how they are related. Methods
to value the environment can be broadly divided, into two categories: those which
value a commodity via a demand curve; and those which do not (Turner and Pearce,
1994: 115-116).
Environmental Valuation Methods
Demand Curve
Approaches
Expressed
Preference
Methods
Revealed
Preference
Methods
Contingent
Valuation
Method
Travel
Cost
Method
Non-Demand
Curve
Approaches
Dose-Response Methods
Replacement Costs
Mitigation Behaviour
Opportunity Cost
Hedonic
Pricing
Method
Figure 1. Monetary Evaluation Methods for Environmental Goods
The Misi Rural Development Project And Area’s Recreational Value Based On...
53
Non-market demand approaches have traditionally been used to assess the cost of
environmental impacts, and hence to determine policy responses by policy makers in
Developed Countries (Clawson and Knetsch, 1966). Those methods are: dose
response approach, preventative expenditure approach, replacement cost,
mitigation behaviour, opportunity cost methods.
Demand curve approaches take part in expressed prefence and revealed preference
methods. The demand for environmental goods can be revealed by examining the
purchases of related goods in the private market place. These may be
complementary goods or other factor inputs in the household’s production function.
On the other hand, the demand for environmental goods can be measured by
examining individual’s expressed or stated preference for these goods relative to
their demand for other goods and services (Baumol and Oates, 1988).
There are a number of revealed preference methods. The travel-cost method (TCM)
is primarily employed to estimate the demand or marginal valuation curve for
recreation sites (Douglas and Taylor, 1999:81-92). Entry to many recreation sites is
free of charge. However, individuals need to purchase a private good, to gain access
to the recreation site. The demand for the recreation site can therefore be estimated
by observing how the number of visits to the site varies according to the price of this
private good: greater distances incur higher transport costs and hence lower numbers
of visits, ceteris paribus.
The hedonic price method (HPM) is based on consumer theory which postulates that
every good provides a bundle of characteristics or attributes (Lancaster 1966). HPM
attempts to evaluate environmental services, the presence of which directly affects
certain market prices. For instance, house prices are affected by many factors:
number of rooms, size of garden, access to workplace, etc. Of course, one important
factor will also be local environmental quality. If we can control for the nonenvironmental factors, e.g. by looking at houses with the same number of rooms,
similar garden size, similar accessibility etc., then any remaining difference in house
price can be shown to be the result of environmental differences.
Expressed preference techniques avoid the need to find a complementary good
(travel or housing), or a substitute good (compensatory wage rate), to derive a
demand curve and hence estimate how much an individual implicitly values an
environmental good or safety feature. Expressed preference methods ask individuals
explicitly how much they value an environmental good (Garrod and Willis, 1999:
20-21).
2.2. The Concept of Contingent Valuation Method
Contingent Valuation is a method of estimating the value that a person places on a
good. The approach asks people to directly report their willingness to pay (WTP) to
obtain a specified good, or willingness to accept (WTA) to give up a good, rather
than inferring them from observed behaviours in regular market places.
Because it creates a hypothetical marketplace in which no actual transactions are
made, contingent valuation has been successfully used for commodities that are not
54
Serkan GÜRLÜK
exchanged in regular markets, or when it is difficult to observe market transactions
under the desired conditions.
Although it is certainly possible to employ contingent valuation for commodities
available for sale in regular marketplaces, many applications of the method deal
with public goods such as improvements in water or air quality, amenities such as
national parks, and private non-market commodities such as reductions in the risk of
death, days of illness avoided or days spent hunting or fishing.
Contingent valuation has proven particularly useful when implemented alone or
jointly with other valuation technique for non-market goods, such as the travel cost
method or hedonic approaches. It remains the only technique capable of placing a
value on commodities that have a large non-use component of value, and when the
environmental improvements to be valued are outside of the range of available data
(Jakobsson and Dragun, 1996).
The goal of contingent valuation is to measure the compensating or equivalent
variation for the good in question. Compensating variation is the appropriate
measure when the person must purchase the good, such as an improvement in
environmental quality. Equivalent variation is appropriate if the person faces a
potential loss of the good, as he would if a proposed policy results in the
deterioration of environmental quality. Both compensating and equivalent variation
can be elicited by asking a person to report a willingness to pay amount. For
instance, the person may be asked to report his WTP to obtain the good, or to avoid
the loss of the good. Formally, WTP is defined as the amount that must be taken
away from the person's income while keeping his utility constant:
V ( y − WTP, p, q1; Z ) = V ( y, p, q0 ; Z )
(1)
where V denotes the indirect utility function, y is income, p is a vector of prices
faced by the individual, and q0 and q1 are the alternative levels of the good or quality
indexes (with q1 > q0, indicating that q1 refers to improved environmental quality).
Willingness to accept for a good is defined as the amount of money that must be
given to an individual experiencing a deterioration in environmental quality to keep
his utility constant:
V ( y + WTA, p, q0 ; Z ) = V ( y, p, q1 ; Z )
(2)
In equations (1) and (2), utility is allowed to depend on a vector of individual
characteristics influencing the trade-off that the individual is prepared to make
between income and environmental quality. An important consequence of equations
(1) and (2) is that WTP or WTA should, therefore, depend on (i) the initial and final
level of the good in question (q0 and q1); (ii) respondent income; (iii) all prices faced
by the respondent, including those of substitute goods or activities; and (iv) other
respondent characteristics. Internal validity of the WTP responses can be checked by
regressing WTP on variables (i)-(iv), and showing that WTP correlates in
predictable ways with socio-economic variables.
55
In theory, absent income effects and when WTP is a small fraction of income, WTP
and WTA for a given commodity should be approximately equal. However, a
number of CV studies have found that WTA is often much larger than WTP for the
same commodity.
3. The Misi Project and Model
With the industrialization, that the investments being made for rural areas decrease
is the terms that developing countries have to solve it. So, rural development
projects had been practiced with the aim of preventing the immigration from rural
areas to urban areas and providing to develop the rural side.
3.1.The Misi Settlement and Rural Development Project
In spite of these negative progresses. Misi is an old settlement which did not lose its
traditional charecteristics and green fabric. But, that residences are weak in the
region threats the Misi Settlement and recreational areas. In this point, Bursa
Metropolitan Municipality decided to make a project which will protect the
historical - green fabric and provide to increase the welfare level of the region.
However, it did not include the benefit/cost analysis environmental costs and
benefits.
Misi settlement is far away 15 kilometres from Bursa province centre and at the
western side. In addition, it is a natural recreational area which is surrounded with
four hills and forests. Following are geographic charecteristics of the region:
Height from sea level
Average heat
Settlement are
Population
The number of house
:
:
:
:
:
340 metres
0-36 °C
15 hectares
1372
260
3.2. Model
In order to apply Contingent Valuation Method (CVM), it is necessary to examine
interviews or surveys using questionnaires to drive expression of a willingness to
pay by the individual for some quantity of a good (benefit) via some payment
mechanisms.
129 surveys were applied by the Uludag University Agriculture Economics
Department Students. Respondents were selected by random sampling. This number
is sufficient for statistically significant analysis considering the total effected
population of 1372. The surveys were conducted between 18.00 p.m. and 21.00 p.m.
Because landlords generally have been these time range in the Misi Center. The
survey consists of three sections and a total of 40 questions. There are 5
demographic questions in the first section. The second section inquires about
individual’s opinions about his/her environment terms. The positive and negative
opinions, and expectations about the project are asked in the third section. The
questions which is about “willingness to pay” and “willingness to accept” are also in
this section. In the Turkey, rural side has got a quite closed and strange socioeconomical and culturel structure. So that, residences have given the surveyer the
cold shoulder. Furthermore, they have considered the scientific survey study as a
“taxation survey”. It was given the agricultural extension service to break this belief
56
Serkan GÜRLÜK
and conduct the data fit. Survey was effectively prepared to remove the doubts
regarding reliability of the data. For instance, in the first section, it was asked to
respondents how much they have land and how much they have agricultural
production cost per year. In the next section, it was directly asked to the respondent
about his income. Thus, it was tried to be sure date. It was made crosswise
verifications for other indipendent variables.
WTP question is: “There will be a rural development projects in your region, and
your welfare levels and incomes will increase thanks to this project. But it will also
be environmental quality loses such as the congestion of car and human, high rate
chemical use, infrastructure constructions etc.. In this situations, how much money
willingness to pay for this project” ?
After the survey study, statistical analysis that explain WTP was practiced by “The
Statistica Statistical Analysis Software” as following list:
•
•
•
Specification of the maximum model
Specification of a criterion for selection model
Specification of a strategy for applying the Criterion
*Normal procedure
*Stepwise elimination procedure
*Backward elimination procedure
The ordinary least squares statistical method is used to estimate the relationship of
total annual benefit to the characteristics of households and resource. The objective
of the statistical analysis is the estimation of the coefficients, and variables that
provide the best estimates of WTP. Following model was used to estimate WTP:
Yi = a + α 1 β 1 + α 2 β 2 + ... + α n β n
I
Yi
a
β1…βn
α1... αn
=1, N
=WTP for individual I
=Constant
=Variables
=Coefficients
Descriptions of the variables are given in Table 1:
Table 1: Variable Specification for the Model 1 and 2
VARIABLE
DESCRIPTION
AGE
Range:20-72
EDU
Education Level: 1=Literate
#
5=Primary School
#
8=Secondary School
#
11=High School
#
15=University
WITH_NAT
Working time of the respondent
(3)
HOUSEHLD
TOTALAND
ENV_SENS
CHEM_USE
#
NEXT_GEN
#
PRO_INFO
#
PER_BENF
#
LAND_OWN
#
#
NAT_PROT
#
OTHER_SP
#
57
Household size
The amount of land of the respondent
1= The nature is important for the Turkey
0=The nature is not important for the Turkey
1= I will not use chemicals
0= I will use chemicals
1=Yes, project is benefical for the next generations
0=No, project is not benefical for the next generations
1=have project information
0=have not project information
1=Yes, project is benefical for the person
0=No, project is not benefical for the person
0=inheritance
1=buying
2=inheritance+buying
1=Yes, it is necessary to protect the nature
0=No, it is unnecessary to protect the nature
1=Other species can be removed for human
0=Other species can not be removed for human
For the model, a selection criterion is an index that can be computed for each
candidate model and used to compare models. Thus, candidate models can be
ordered from best to worst (Alp, 1999). This helps to automate the process of
choosing the “best” model. Obviously, the selection criterion should be related to the
goal of the analysis. R2, F, MSE(p), Cp and Durbin - Watson significiant test are
fundamentally used as selection criterias. In this study F, R2 and Durbin - Watson
significiant test were used as the selection criteria.
In order to evaluate most significiant parameters on mean WTP, first of all standart
regression and then, the method of Forward Stepwise Regression was adapted. In the
standart regression, variables AGE, WITH_NAT, EDU, INCOME, TOTALAND
were included in the Model 1. In the method of Forward Stepwise Regression,
indicator variables were used in the second model, and the independent variables
were individually added or deleted from the model at each step of the regression
until the “best” regression model is obtained. In the method, the importance of a
variable is judged by the size of the t/F statistics for dropping the variable from the
model (Anonymous 1995). Following Table 2 is about means and standart
deviations of the variables. Table 3 is about correlations among variables placed in
the final model.
Table 2: Descriptive Statistics for the Analysis
VARIABLE
DESCRIPTION
Means and Standard Deviations
#Mean
#Std.Deviation
AGE
45,267
0,315
WITH_NAT
9,367
0,160
EDU
1,300
0,792
58
Serkan GÜRLÜK
INCOME
TOTALAND
ENV_SENS
HOUSE_HLD
CHEM_USE
PER_BENF
LAND_OWN
NAT_PROT
OTHER_SP
3251333333
9,567
1,900
3,767
0,600
0,567
0,433
0,967
0,167
0,760
0,280
0,220
0,208
0,558
0,340
0,350
0,180
0,430
Table 3: The Correlation matrix for the variables
#
AGE
1,0000 -0,4435 -0,4144
HOUS- CHEM- LAND- OTHERTOTAWTP
ENV-SENS
EHLD USE OWN
SP
LAND
0,0519 0,0332
-0,3054 0,4863 -0,3338 -0,0454 -0,0348
EDU
-0,4435 1,0000 0,1810
0,1238 -0,2131
0,0360 -0,3138 0,5118 0,0607
0,4373
INCOME
0,1161
AGE
EDU INCOME
-0,4144 0,1810 1,0000
0,1334 0,1797
0,3161 -0,7973 0,2658 0,3365
TOTALAND 0,0519 0,1238 0,1334
1,0000 0,0047
0,0588 -0,0118 0,3372 0,1836
-0,2374
ENV_SENS
0,0047 1,0000
0,1192 -0,2503 -0,4658 0,0514
-0,2129
0,0332 -0,2131 0,1797
HOUSEHLD -0,3054 0,0360 0,3161
0,0588 0,1192
1,0000 -0,2854 -0,0326 0,0108
0,1867
CHEM_USE 0,4863 -0,3138 -0,7973
-0,0118 -0,2503
-0,2854 1,0000 -0,2662 -0,3651
0,0655
LAND_OWN -0,3338 0,5118 0,2658
0,3372 -0,4658
-0,0326 -0,2662 1,0000 0,1041
-0,0265
OTHER_SP
-0,0454 0,0607 0,3365
0,1836 0,0514
0,0108 -0,3651 0,1041 1,0000
-0,3327
WTP
-0,0348 0,4373 0,1161
-0,2374 -0,2129
0,1867 0,0655 -0,0265 -0,3327
1,0000
4. Conclusions
In the standart regression model, following equation was obtained:
WTP = −7120593,246 + 0,313 AGE + 0,098WITH _ NAT + 0,613EDU
+ 0,169 INCOME − 0,37TOTALAND
MODEL 1 SUMMARY
Dep.Var.
No. of Cases
Multiple R
R2
adjusted R2
Standart error of estimate#
Intercept
F
df
:
:
:
:
:
:
:
:
:
WTP
129
0,60080
0,36096
0,22783
4085260,0801
-7120593,246
2,711377
5,24
The first model has lower statistical significiance than the second model. In model 1,
total WTP is 5.534.737,872 USD. In the second model, as soon as variable number
59
increase, F and R values had risen. Furthermore, the impact of the indicator
variables was examined upon final model.
As can be seen from Table 2, firstly, model 2 contains all of the variables entered
introduced. In the following iterations, variables are eliminated one by one until the
desired t-value is attained. As iterations went on, the adjusted R2 value increased.
WITH_NAT, PER_BENF, NAT_PROT were removed from the model and final
model was obtained such as:
WTP = −11904146,52 + 0,792 EDU − 0,32OTHER _ SP − 0,35LAND _ OWN
− 0,22 ENV _ SENS + 0,760 INCOME + 0,588CHEM _ USE − 0,28TOTALAND
+ 0,315 AGE + 0,208 HOUSEHLD
MODEL 2 SUMMARY
Dep.Var.
No. of Cases
Multiple R
R2
adjusted R2
Standart error of estimate
Intercept
F
df
:
:
:
:
:
:
:
:
:
WTP
129
0,85391238
0,72916635
0,60729120
2913404,64
-11904146,52
9,828
9,20
The final equation for the second model is significant at the 0,05 level as indicated
by F value of 9,82 and Durbin-Watson test value of 1,4457. Although this value is
in the instability ranges which is dlow and dup, there is no autocorrelation among error
terms.
Generally, in the analysis of WTP results are based upon medians instead of mean.
However, it is the mean and not the median WTP, which strictly correct welfare
measure in cost-benefit analysis (Brent 1998). In this study, total WTP(mean)=
2.306.474,836 USD. The value of total WTP(mean) has to be included in the
Benefit-Cost ratio.
Especially after the 1980’s, firstly in the USA and Avustralia and then in the other
developed countries, environmental impacts were included in the Cost-Benefit
analysis . There is no doubt that environmental impacts have increased or decreased
the social welfare level. In spite of the fact that B/C analysis has been practiced in
the public project assessment of Turkey, these assessments have only involved in
the employment contribution, exchange creation impacts etc.. Even if the
environmental impact assessment reports have been carried out in some
entrepreneurships, it has been only a procedure. Social welfare and environmental
impacts should be included in the analysis, and decision maker mechanism should
considered the environmental impacts.
60
Serkan GÜRLÜK
REFERENCES
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East Technical University MSc. Thesis, Ankara.
ANONYMOUS, Statistica Software General Conventions & Statistics. 1995. Tulsa
OK, USA.
BAUMOL, W.J. OATES, W. (1988). The Theory of Environmental Policy,
Cambridge University Press, Cambridge, UK.
BRENT, R. (1998). Cost-Benefit Analysis for Developing Countries. Edward Elgar
Publishing Limited, Cheltenham, UK.
ÇETİN, B., REHBER, E. (1999). “Environmental Impact Assessment for
Agriculture in Developing Countries, Proceedings XXVII CIOSTA-CIGR V.
Congress in Sustainable Agriculture, Horsens, Denmark.
CLAWSON, M., KNETSCH, J.L. (1966). Economics of Outdoor Recreation, Johns
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DOUGLAS, A.J., TAYLOR, J.G. (1999). “A New Model for the Travel Cost
Method: The Total Expenses Approach”, The Journal of Environmental
Modelling&Software, 14, 81-92.
GARROD, G., WILLIS, K.G. (1999). Economic Valuation of the Environment.
Edward Elgar Publishing Limited, Cheltenham, UK.
HARTWICK, J.M., OLEWILER, N.D. (1986). The economics of Natural Resource
Use, Harper Row, New York, USA.
JAKOBSSON, K.M., DRAGUN, A.K. (1996). Contingent Valuation and
Endangered Species, Edward Elgar Publishing Limited, Cheltenham, UK.
KULA, E. (1994). Economics of Natural Resources, the Environment and Policies,
Chapman&Hall, London, UK.
LANCASTER K. (1966). “A New Approach to Consumer Theory”, The Journal of
Political Economy, 74, 132-57.
TURNER, R.K., PEARCE, D., BATEMAN, I. (1994). Environmental Economics.
Harvester & Wheatsheaf, UK.
İŞLETMELERDEKİ ÜRETİM PERFORMANS
ÖLÇÜTLERİNİN GELİŞİMİ, ÖZELLİKLERİ VE SÜREKLİ
İYİLEŞTİRME İLE İLİŞKİSİ
Ebru Tümer KABADAYI
GYTE, İşletme Fakültesi
ÖZET : Bir işletmenin değişen koşullara daha kolay adapte olmasõnõ sağlamak için
kritik performans ölçütleri kullanõlarak işletmenin periyodik olarak
değerlendirilmesi ve sürekli iyileştirilmesi gerekmektedir. Artan rekabet ortamõnda
işletmelerin rakipleri karşõsõnda ayakta kalabilmeleri için bu değerlendirmeler
õşõğõnda gerekli düzenlemelere gitmeleri oldukça önemli bir faktör olarak karşõmõza
çõkmaktadõr. Bu çalõşmada, performans ölçüm sistemlerinin gelişimi, performans
ölçütlerinin özellikleri, sõnõflandõrõlmasõ ve ayrõca, sürekli iyileştirme ile performans
ölçütleri arasõndaki ilişki üzerinde durulmuştur.
Anahtar
K e l i m e l e r : Performans ölçütleri, performans ölçütlerinin
sõnõflandõrõlmasõ, sürekli iyileştirme
ABSTRACT : In order to easily adapt a firm to the changing conditions, one
should periodically evaluate the firm in terms of critical performance criteria and
apply a process of continuous improvement. Taking the right actions for the firm
with the light of these assessments is an important factor in gaining advantage
against the competitors of the firm. This study concerns about the development of
performance measurement systems, the characteristics and classifications of
performance measures, and the relationship between continuous improvement and
performance measures.
Keywords: Performance measures, classifications of performance measures,
continuous improvement
GİRİŞ
Günümüz rekabetçi ortamõnda, dünyanõn globalleşmesiyle ve elektronik ticaretin
artmasõyla, işletmeler ürün kalitesi, teslimat hõzõ, güvenirlik, müşteri memnuniyeti,
satõş sonrasõ hizmet vb. konularda diğer rakipleri ile artan bir rekabet içine
girmişlerdir. Bu açõdan incelendiğinde, işletmeler rakipleri ile olan bu
mücadelelerini sunduklarõ ürün ve hizmetlerle karşõlaştõrmaktadõrlar. Bu
karşõlaştõrmayõ yaparken, ortaya ürün ve hizmetlerin kalitesi, sağlamlõğõ,
güvenilirliği, müşterinin istekleri ile tam uyumu gibi ürün veya hizmetin
performansõnõ ifade eden değişkenler ortaya çõkmõştõr. Bu değişkenlerin arzu edilen
seviyelerde olmasõnõ ve sürekli iyileşmelerini sağlamak için üretim performansõnõ
geliştirici ve iyileştirici tedbirler almak gerekmektedir. Bunun için de, üretim süreç
veya süreçleri için uygun, geçerli, güvenilir, açõk, kolayca ölçülebilir ve doğru
performans ölçütlerinin belirlenmesi ve yürürlüğe konulup uygulanmasõ gerekliliği
ortaya çõkmaktadõr.
62
Performans ölçümü 1970-1980’li yõllarda birim seviyesinde performansõn
ölçülmesiyle başlamõştõr. Araştõrmacõlar bütün işletme birimlerinin performanslarõnõ
incelemeye yönelmişlerdir. 1980’lerin ortasõnda, tam zamanõnda üretim (TZÜ)
felsefesinin ortaya çõkmasõyla, performans ölçüm araştõrmalarõ imalat planlamasõ ve
kontrol sistemlerine yönelmiştir. Daha sonra bu gelişmeleri bilgisayar destekli
imalat (BDİ) ve esnek üretim sistemlerindeki (EÜS) konularõn performans
ölçümlerinin araştõrõlmasõ izlemiştir. Bazõ araştõrmacõlar kalite, maliyet, zaman ve
esnekliğin çeşitli boyutlarõnõ stratejik açõdan incelerken (Tunalu, 1992), bazõ
araştõrmacõlar da (Globerson, 1985; Maskell, 1989, Kaplan ve Norton 1992); genel
işletme performansõ ile ilişkili fonksiyonel veya birimsel performans için yapõlar
geliştirmişlerdir. Araştõrmalar genellikle, fabrika sistemlerinin nasõl işletme
performansõ ile ilişkili olduğu ve onu nasõl etkilediği üzerinde yoğunlaşmõştõr.
Zamanla, imalat sistem performansõnõn bütün işletme performansõ üzerinde etkili
olduğu kanõsõna varõlmõştõr (Lockamy and Spencer, 1998 : 2047).
Bir başka yaklaşõmda ise, performans ölçümleme 2 evrede incelenmiştir: 1980
öncesi ve 1980 sonrasõ. İlk evrede, kar, yatõrõmõn geri dönüşü ve verimlilik gibi
finansal ölçütler ağõr basarken, ikinci evrede ise, yeni üretim teknolojileri ve
felsefelerini uygulama ile değişen müşteri ihtiyaçlarõnõ karşõlama ön plana çõkmõştõr.
Bu ikinci evrede meydana gelen yenilik ve değişimler geleneksel performans
ölçütlerinin sõnõrlarõnõ aşmõştõr. Bu yüzden işletmeler başarõlarõnõ devam ettirmek ve
artõrmak için yeni ölçütler ortaya koyma zorunluluğu ile karşõ karşõya kalmõşlardõr
(Ghalayini ve diğ., 1997 : 208). Aşağõdaki tablo çeşitli yazarlarca ele alõnan
performans ölçütlerini yõllar bazõnda ortaya koymaktadõr (Filippini ve diğ., 1998 :
3383).
Tablo 1. Yõllar
Yazar(lar)
Skinner
Campanella and
Corcoran
Richardson, Taylor and
Gordon
Bazõnda İncelenen Performans Ölçütleri
Y õ l Performans ölçütleri
1969 Üretkenlik, hizmet, kalite, yatõrõmõn geri dönüşü
1983 Kalite seviyesi (hata yüzdesi), kalite maliyetleri
(=koruma mal. + değerleme mal. + hata mal.)
1985 Çõktõ hacmi, birim başõna maliyet, kalite,
zamanõnda teslim, iş gücü verimliliği, yeni ürün
sunma yeteneği, ürün esnekliği, hacim esnekliği
Rosenfield, Shapiro and 1985 Maliyet-teslim süresi
Bohn
Skinner
1985 Maliyet ve etkinlik, ürün kalitesi/güvenirlik,
teslim süresi ve güvenirliği, yatõrõm, ürün
esnekliği, hacim esnekliği
Fine
1986 Uygunluk seviyesi (hatalõ olmama oranõ),
maliyet= değerleme mal + koruma mal. + hata
mal.
Miller and Roth
1988 Fiyat, kalite tutarlõlõğõ (uygunluk), yüksek
üretkenlik, esneklik, hõzlõ hacim değişimi, hõzlõ
teslim, güvenilir teslim, satõş sonrasõ hizmet,
promosyon
Ferfows and De Meyer 1990 Kalite, birim üretim maliyeti, envanter
değişimi, gelişme hõzõ, zamanõnda teslim, yõğõn
büyüklüğü, genel maliyetler
İşletmelerdeki Üretim Performans Ölçütlerinin Gelişimi, Özellikleri ve Sürekli...
Miller and Kim
1990
Schonberger
1990
New
1992
Carbett and Van
Wassenhove
1993
Flynn, Filippini, Forza
ve diğ.
Mapes
1996
1996
New and Szwejczewski 1996
63
Genel maliyetler, üretim maliyeti, teslim hõzõ,
teni ürün geliştirme hõzõ, stok hõzõ, kalite
İşleme süresini azaltma, iş gücü üretkenliği,
girdi ve çõktõ kalitesi, üretim birim maliyeti,
tahmin uygunluğu
İşleme süresi, teslimat güvenirliği, kalite, fiyat,
tasarõm esnekliği, hacim esnekliği
Maliyet, zaman (esneklik, hizmet, teslim,
yenilikçilik) kalite (güvenirlik, uygunluk,
dayanõklõlõk, hizmet verebilirlik, esneklik)
Teslim süresi, kalite tutarlõlõğõ/yeteneği,
üretkenlik, satõş maliyeti
İmalat maliyetleri, kalite tutarlõlõğõ, işleme
süresi, teslimat güvenirliği, yeni ürün sunum
hõzõ ve oranõ, ürün çeşitliliği
Üretkenlik, müşteri hizmeti
Performans ölçütleri rutin faaliyete yönelik kararlar almalarõ, faaliyetleri kontrol ve
planlamalarõ, süreç ve faaliyetlerin etkinlik ve verimliliğini belirlemeleri ve işletme
amaçlarõna ulaşmayõ sağlayacak şekilde iş görenleri motive etmeleri açõsõndan
yöneticilere yardõmcõ olurlar. Performans ölçütlerinin 2 amacõ vardõr. İlki, işlerin
mevcut durumu hakkõnda kullanõcõyõ bilgilendirir ve faaliyet kontrolü, planlamasõ ve
uygulanmasõnda uygun eylemlerin yapõlmasõnõ kullanõcõya ifade eder. İkincisi,
performans ölçütleri, iyi yapõlan iş için verilecek uygun ödüller (ücret artõşõ,
ikramiye, terfi ve tanõnma) açõsõndan, hem iş gören hem de yöneticilerin
performansõnõ değerlemeyi sağlar (Dhavale, 1996b : 59).
İmalat işletmelerinde öncelikle ele alõnan performans ölçütü iş çõktõsõna yöneliktir.
Bu konu, çõktõ süresi (sistemde harcanan toplam süre), çõktõ miktarõ (belirli bir
zamanda tamamlanan iş sayõsõ), gerekli süre miktarõ (sabit bir iş sayõsõnõ bitirmek
için gerekli süre) ve çõktõ oranõ (toplam girdi üzerinden ulaşõlan çõktõ miktarõ) gibi alt
ölçütlerle ölçümlenir. Günümüze kadar iş çõktõsõ hakkõnda çeşitli yazarlar bu alt
ölçütleri ele almõşlardõr. Bu yazarlar ve çalõşma yõllarõ aşağõdaki tabloda
belirtilmektedir (Beamon, 1998 : 379-380).
Tablo 2. İş Çõktõsõ Kronolojisi
Performans Ölçütleri
Yazar(lar) ve Yõllarõ
Çõktõ miktarõ
Egbelu and Tanchoco (1984)
Cheng (1987)
Egbelu (1987)
Ozden (1988)
Vosniakos and Mamalis (1990)
Tanchoco and Sinriech (1992)
Raju and Chetty (1993)
Taghaboni, Dutta and Tanchoco (1993)
Shang (1995)
Çõktõ süresi
Lee ve diğ. (1990)
64
Mahadevan and Narendran (1990)
Sabuncuoğlu and Hommerzheim (1992)
Çõktõ miktarõ ve süresi
Tanchoco ve diğ. (1987)
Wysk ve diğ. (1987)
Kim and Tanchoco (1993)
Sabit bir iş sayõsõnõ bitirmek için Egbelu (1987)
gerekli süre
Çõktõ oranõ
Han and McGinnis (1989)
Tanchoco and Rembold (1994)
Bir imalat sisteminin performansõnõ her yönden iyileştirmek için, uygun performans
kriterlerinin ölçümüne ihtiyaç vardõr. Bu konu, iyileştirmeye gereksinim duyan
alanlarõn tanõmlanmasõnõ ve etkin bir şekilde odaklanõlacak kaynaklarõn uygun
olmasõnõ sağlamayõ içerir. Aynõ zamanda, ölçümleme bir kere uygulandõğõnda,
iyileştirmelerin etkinliğinin değerlendirilmesine de izin verir (Bateman ve diğ., 1999
: 871). İmalat sisteminin performansõ faaliyet performansõ ile ilişkilidir. Bu yüzden,
faaliyet performansõ, bir üretim biriminin kaynaklarõnõ nasõl iyi bir şekilde ürün ve
hizmet çõktõsõna çevirdiği ile ilgili bir kavramdõr. Bir üretim biriminin amacõ, ortaya
koyduğu çõktõlardan bir değer sağlamak ve maddi ve beşeri kaynak kullanõmõnõ
kõsacasõ verimliliğini artõrmaktõr (Parkan and Wu, 1997 : 2963). Performans ölçümü
yapabilmek için bir sürecin verimliliğini tanõmlamak yeterli değildir. Ayrõca bunu
ölçmek de gerekir. İşletme verimliliğindeki değişimi ölçme amacõ zor bir görevdir.
Bunun sebeplerini şu şekilde ifade edebiliriz (Ghobadian and Husband, 1990 : 14351436):
•
•
•
•
•
•
•
Kavram yeteri kadar iyi tanõmlanmamõştõr ve farklõ kişiler verimliliği farklõ
değerlendirmektedirler,
Bir çok örgüt farklõ çõktõ çeşitliliğine sahiptir, hepsini ortak bir kavrama
dönüştürmek ve işletmenin çõktõsõndan tek bir değer çõkartmak zordur,
Direkt olarak, çõktõlarõn üretimi için harcanan girdileri belirlemek zordur,
Farklõ girdileri tek bir ortak ölçüm birimine çevirmek ve çõktõ imalatõnda
harcanan girdiler için tek bir değer oluşturmak zordur,
Girdideki niteliksel değişimi fark etmek ve hesaba katmak zordur,
Girdi ve çõktõ ölçütlerindeki önyargõyõ atmak ve bağõmsõzlõğõ sağlamak zordur,
Finansal kontrol ölçütlerinin etkinliğini azaltmak zordur.
Bir başka açõdan, kalitenin -spesifikasyonlara uyum- verimliliğin artmasõnda önemli
rolü vardõr. Düşük kalite -israf ve hurda- maliyetleri ile düşük kalite -süreç
darboğazlarõndaki zaman kaybõ, yavaş malzeme akõşõna yönelik endirekt maliyetleri
uygun kaliteyi sağlama ve onu artõrmak için yapõlan çabalarõn maliyetlerinden daha
fazladõr. Yüksek performans kalite imalat sürecini dengelemek ve değişebilirliği
azaltmak anlamõna gelmektedir (Flaherty, 1996 : 170).
65
İkame edilebilir ürünleri olan işletmeler arasõndaki rekabet çok şiddetlidir. Eğer
işletme yaşamak istiyorsa, yapmasõ gerekenler; değişen müşteri istek ve ihtiyaçlarõna
çabuk cevap vermek, ürün ve teslim kalitelerini sürekli artõrmak ve maliyetleri
düşürmektir. Ürün kalitesini iyileştirme ve ürün akõşõnõ kontrol etme için yapõlan
bütün çabalar eğer ilerleme incelenirse anlam kazanõr. Bu durumda, performans
belirleyicilerine ihtiyaç vardõr. Performans belirleyicileri daha önce belirlenen
hedeflerle performans sonuçlarõnõ karşõlaştõrõr ve aralarõndaki sapmanõn miktarõnõ
ölçer. Performans belirleyicilerinin amacõ, iyileştirmeyi planlõ bir süreç olarak
sistematik ve sürekli şekilde desteklemek ve yapõlan işlerin durumu hakkõnda sayõsal
ve finansal olmayan veri sağlamaktõr. Kõsaca, performans belirleyicileri bir parçanõn
veya belirli bir norm, hedef veya plan doğrultusunda süreç veya sistemin bütününün
etkinliğini ve/veya verimliliğini ifade eden bir değişkendir. Her zaman, her türlü
faaliyet ölçülebilir, ancak belirli bir performans seviyesi üzerinde anlaşõlmalõ ve bu
uzlaşmanõn gerçekleştirebileceği amaç belirlenmelidir. Eğer ölçümleme sayõsal ise
performans belirleyicileri temel bir değerleme aracõ olabilir. Bir örgütün amacõ,
hedefini v.b. belirlemek, her birine bir öncelik atamak, planlarõ yapmak, gerekli
eylemleri düzenlemek ve ölçülecek performans için parametreleri belirlemektir. Bu
andan itibaren de, performans belirleyicileri devreye girer ve performansõn niteliksel
ilerlemesini sayõsal olarak ifade eder. Burada temel amaç, performans
belirleyicilerinin örgütün çekirdek amacõndan ortaya konmasõdõr (Fortuin, 1988:13).
Kullanõcõlar performans belirleyicilerini kolay anlaşõlabilir, basit ve açõk şekilde
ifade edilmiş ve ayrõca anlamlõ olmasõnõ isterler. Bunlarõn yanõ sõra, örgütsel
amaçlarõn açõk olmasõ, performans belirleyicilerinin bir ölçüt olarak kabul edilmesi,
performans belirleyicilerinin yapõlan işlerin mevcut durumuna yönelmesi ve
performans belirleyicilerinin her zaman mevcut olmasõ diğer karşõlanmasõ gereken
şartlardõr. Her performans belirleyicisi belirli bir zaman zarfõnda bir faaliyetin
durumunu ifade eder. Geçmiş şartlar ile kolay karşõlaştõrmak için, uygun geçmiş
verilere de sahip olmak gereklidir.
Performans ölçütleri örgütün “hayati işaretleri”dir. Neyin önemli olduğu ile ilgili
iletişimi kurarlar: Yukarõdan aşağõya doğru, strateji; aşağõdan yukarõya doğru, süreç
sonuçlarõ; ve süreçlerle beraber, kontroller ve iyileştirmeler arasõndaki bağlantõyõ
sağlarlar. Performans ölçütleri vasõtasõyla, insanlar işlerinin örgütsel başarõya nasõl
bağlandõğõnõ anlarlar. Performans ölçütlerinin belirli stratejik önemi, belki de
işletmenin doğru şekilde doğru şeyleri ölçmediğini ortaya koyar. Örneğin, ortak
ölçütler –hisse başõna kazanç, yatõrõmõn geri dönüşü, iş gücü etkinliği,
standartlardaki değişim, stok seviyeleri ve makine kullanõmõ- eksik olduklarõ için
uygun değillerdir. İnsanlara süreçteki performanslarõnõ iyileştirmelerine imkan
vermezler (Hronec ve diğ., 1993).
İşletme stratejisi, bir çok işletmede, kapalõ kapõlar ardõnda kõdemli yöneticilerce
hazõrlanõr. Genellikle teknik ve fonksiyonel yönetim şirket stratejisini anlamaz. Tepe
yönetimi ile orta ve alt kademe yönetimi arasõndaki iletişim eksikliği işletmenin
stratejik yönü ile ilişkili olmayan kararlarla sonuçlanõr. Tepe yönetiminin günlük
faaliyetlerden elini çektiği, merkezi olmayan örgütlerde bu durum daha farklõdõr.
Stratejiye bakõlmaksõzõn taktik karar alma maliyetlidir ve bu rekabetçi olmayan
ürünler ortaya çõkartabilir veya tamamen fabrikanõn kapanmasõ ile sonuçlanabilir.
Bu açõdan performans ölçütleri işletme sonuçlarõna odaklanarak ve stratejiyi açõk
66
seçik belirtecek şekilde uygulanmalõdõr. Performans ölçütlerine yönelik
bütünleşmeyi planlama, stratejiden geliştirilecek başarõ faktörlerinin karşõlanmasõ
için gereken eylemleri ve önemli görevleri ortaya koymalõdõr. Bütünleşmeyi
planlama, performans ölçütlerinin odağõnõ ortaya koyar ve neyin kontrol edileceğini,
kimin sorumlu olacağõnõ ve ulaşõlacak amaçlarõ belirlemeye çalõşõr (Grady, 1991).
PERFORMANS ÖLÇÜTLERİNİN ÖZELLİKLERİ
Örgütlerde mevcut performans ölçüm sistemlerinin kullanõlabilirliğini gözden
geçirmek önemlidir. Performans ölçümü, incelenecek performans iyileştirmelerine
izin verecek düzenli ve karşõlaştõrõcõ bir şekilde örgüt içinde oluşturulan sayõsal
değer veya nitel ifadelerdir. Olasõ iyileştirme alanlarõnõ belirleme sistematik analiz
gerektirir (Morgan, 1997 : 1). Bu yüzden etkin performans ölçütlerinin sekiz temel
rolü vardõr:
• ilgili konuya dikkatle odaklanma,
• başarõyõ sağlayan etmenleri tanõmlama ve onlarla bağlantõlõ olma,
• örgütsel öğrenmeyi destekleme,
• değerlendirme ve ödüllendirme yapõsõ kurmaya yardõmcõ olma (Inman, 1997)
• örgütteki tepe yönetim önceliklerini destekleme,
• karar alõcõlara doğru ve zamanõnda bilgi sağlama,
• işletmenin finansal ve finansal olmayan ölçütlerini dengeleme,
• içsel müşteri zincirleri ile yatay ilişkiler kurma (Morgan, 1997 : 9).
Günümüze kadar performans ölçütlerinde olmasõ gereken özellikler çeşitli
yazarlarca tanõmlanmõştõr. Geçmiş yõllara ilişkin ve günümüz ortamõ için gereken
nitelikleri beraberce bünyesinde barõndõrmasõ açõsõndan, günümüzde ortaya konan
performans ölçütlerinin özelliklerinin belirtilmesi daha uygun olacaktõr.
Geleneksel performans ölçütleri genellikle direkt işçilik maliyetlerini azaltma ve
kontrol etmeye odaklanmõşlardõr. Ayrõca aşağõdaki sebeplerden dolayõ da sõnõrlõ
özelliklere sahiptirler (Ghalayini ve diğ., 1997 : 208):
•
•
•
•
•
finansal raporlar aylõk olarak düzenlendiğinden ve bir veya iki ay öncesinin
kararlarõnõn sonucu olduklarõndan dolayõ, ölçütler geçerliliğini yitirmektedir.
Raporlarda kullanõlmak için yeteri kadar uygun değillerdir,
ölçütler finansal açõdan iyileştirme çabalarõnõ ve performansõ sayõsallaştõrmaya
çalõşmaktadõr. Bir çok iyileştirme çabasõnõ sayõsallaştõrmak zordur. Örneğin,
üretim programõna sadõk kalma gibi,
bütün birimler arasõnda kullanõlabilecek daha önceden belirlenmiş formlar
vardõr. Esneklikleri çok azdõr ve işletmedeki her birimin kendine has özellik,
öncelik ve katõlõmõnõ göz ardõ ederler,
sürekli iyileştirme kavramõ ile tutarlõ değillerdir,
kalite, üretim, koruyucu bakõm ve programlama alanlarõnda daha fazla
sorumluluk ve otonomiyi işçilere veren yeni yönetim tekniklerine
uygulanamazlar.
Bu bağlamda, aşağõdaki tablo geleneksel ve geleneksel olmayan ölçütlerin
karşõlaştõrmasõnõ yansõtmaktadõr.
67
Tablo 3. Geleneksel ve Geleneksel Olmayan Performans
Ölçütlerinin Karşõlaştõrõlmasõ (Ghalayini ve diğ., 1997 : 210)
Özellikler
Sistem yapõsõ
Ölçüt tipleri
Denetleme
Sõklõk
Gerçekle olan bağ
Atölyeye uyum
Şekil
Yerel-genel uyumu
Sabitlik
Amaç
Yeni yaklaşõmlarõ destekleme
Sürekli iyileştirmedeki etki
Geleneksel performans
ölçütleri
Muhasebe standartlarõ
Finansal
Orta ve tepe yöneticileri
Haftalõk veya aylõk
Endirekt
Göz ardõ edilmiş
Sabit
Sabit, değişmeyen
Sabit, değişmeyen
İnceleme
Uygulanmasõ zor
Engelleyici
Geleneksel olmayan
performans ölçütleri
İşletme stratejisi
Operasyonel ve finansal
Bütün herkes
Saatlik veya günlük
Basit, uygun, direkt
Kullanõlmõş
Esnek, değişken
Dinamik, duruma bağlõ
Dinamik, duruma bağlõ
İyileştirme
Uygulanabilir
Destekleyici
Performansõn iyileştirilmesi ve işlerin doğru yapõlabilmesi için işletmelerde
performans ölçümü ile ilgili kararlarõn doğru alõnmõş olmasõ gerekir. İyi bir
performans ölçütünde olmasõ gereken nitelikler aşağõda verilmiştir (McMann, and
Nanni, 1994; Neely ve diğ., 1996 : 425):
Tablo 4. Performans Ölçütlerinin Özellikleri
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Stratejik planlarla ilgili ve bunlarõ
• Örgüt hiyerarşisine uygun olmalõ
uygulayõcõ olmalõ
Uygulamasõ kolay olmalõ
• Dõş çevre ile uygun olmalõ (rekabet v.b.)
Karmaşõk olmamalõ
• İşbirliğini yatay ve dikey teşvik etmeli
Müşterinin istekleri doğrultusunda
• Performans sonuçlarõndan sorumlu olmalõ
yönlendirilmeli
İşlevsel birimler arasõnda
• Örgüt birimleri arasõndaki haberleşmeyi
bütünleştirilmiş olmalõ
sağlamalõ
Üzerinde fikir birliğine varõlmõş olmalõ • Anlaşõlabilir olmalõ
Gerçekçi olmalõ
• Kritik faktörlere odaklanmalõ
Neden ve sonuçlar arasõnda ilişki
• Maliyetin yanõ sõra kaynak ve girdilere de
kurabilmeli
odaklanmalõ
Zamanõnda geri besleme yapabilmeli
• Geri beslemesi harekete geçirici olmalõ
Kendi kendisini ölçebilmeli
• Geleceği tahmin için veri üretebilmeli
Amaçlarõ olmalõ
• Sõnõrlarõ olmalõ
Bireysel ve örgütsel öğrenmeyi
• Sürekli gelişme ve ilerlemeyi teşvik etmeli
desteklemeli
Dõşsal karşõlaştõrmalar için veri
• Birbirleri ile çatõşmamalõ
üretebilmeli
Örgütün amaç, insan, kültür ve anahtar başarõ faktörleri ile uyumlu ve onlarõ
destekleyici olmalõ
Başka bir yazar tarafõndan ortaya konan, performans ölçütlerinin olmasõ gereken
nitelikleri (imalat sistemlerinde ve imalat dõşõ ortamlarda da yeteri kadar kullanõşlõ
olan nitelikler) aşağõda listelenmiştir (Dhavale, 1996 : 56):
68
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Performans ölçütlerini anlaşõlabilir yapma: Performans ölçütleri kolay
anlaşõlabilir olmalõdõr.
Ölçülecek şey hakkõnda açõk olma: Ölçütler açõkça ölçülecek şeyi belirtmelidir
(örneğin, eğer amaç zamanõnda teslimi ölçme ise, zamanõnda teslimin bir
parçasõ olan “müşteri memnuniyeti endeksi” gibi özel isimler kullanarak amaç
belirsizleşmemelidir
Verinin toplanmasõnõ sağlama: Performans ölçütleri için veri toplanmasõ kolay
olmalõdõr
Ölçütleri zamanõnda elde etme: Ölçütler düzeltici eylemin yapõlabilmesi için
zaman temeline uygun olmalõdõr
Performans ölçütleri strateji ile bağlanmalõ: Performans ölçütleri stratejik
amaçlarla bağlantõlõ olmalõdõr
Farklõ yönetim seviyelerinden performans ölçütlerini sağlama: Performans
ölçütleri farklõ yönetim seviyeleri için uygun olmalõdõr
Tahsisleri ortadan kaldõrma: Performans ölçütleri tahsis edilmiş maliyetleri
kullanmamalõdõr
En iyi olanlarõ teşvik etme: Performans ölçütleri uygun olmayan davranõş ve
işlevsizliği teşvik etmemelidir
Performans ölçütleri ilişkilendirilmeli: Yalnõzca bir birimden sorumlu olan
performans ölçütleri raporda yer almalõdõr. İlgisiz ve önemsiz ölçütleri ortadan
kaldõrma
İletişimi iyileştirme: Eğer bütçeler ana iletişim araçlarõ olarak kullanõlõrsa,
bütçede finansal performans ölçütleri içermelidir
Takõm çalõşmasõnõ vurgulama: Performans ölçütleri bireyler yerine grup için
kullanõlmalõdõr
Sorumluluk ve yerine başkasõnõ geçirmeyi ortadan kaldõrma: Yerine başkasõnõn
geçmesi ile ilgili performans ölçütleri ölçülecek özelliklerle iyi ilişkiler içinde
olmadõğõnda ortadan kaldõrõlmalõdõr
Yüksek oynama: Performans ölçütleri ve hedefleri yalnõzca içsel standartlar
yerine dõşsal kõyaslamalar üzerine kurulmalõdõr
Tepki verme yerine eylem yapma: Performans ölçütleri aktif olmalõdõr gelecekte beklenen zorluklarõ ve problemleri ortadan kaldõrmak için
tasarõmlanma gibi.
Ayrõca, performans ölçütlerinin negatif yönleri de vardõr. Yanlõş ölçütler stratejik
amaca ulaşmayõ engeller, işletme birimleri arasõnda çatõşmalara yol açarlar ve içsel
bürokrasiyi korurlar. Diğer yönden de, işgörenlerin müşteri ve işletme sahipleri için
yararlõ olmayan faaliyetlere yönelik zaman ve çaba harcamalarõna sebep olurlar
(Morgan, 1997 : 2).
PERFORMANS ÖLÇÜTLERİNİN SINIFLANDIRILMASI
Performans ölçütleri esneklik, faaliyet verimliliği, kaynak kullanõmõ, kalite, zaman
ve maliyet ölçütleri açõsõndan sõnõflandõrõlabilir. Performans ölçütleri, özellikle
imalat yapõlarõnda kullanõlanlar, genelde zaman esaslõdõr. Bu ölçütler, belirli bir
zamanda bir faaliyetin direkt ölçütleri, mevcut ölçümlemenin geçmiş ölçümleme ile
karşõlaştõrõldõğõ genel ölçütler ve benchmarking ölçütleri olarak sõnõflandõrõlabilir
(Beamon, 1998 : 388).
69
Eğer bir işletme pazardaki bir fõrsatõ pazar payõna çevirmek istiyorsa, hõz önem
kazanõr. En iyisini yapmak ve her zaman rekabetin içinde yer almak genel amaçtõr.
Performans belirleyicileri gereken zaman minimum hale gelinceye kadar, bu yenilik
sürecini kontrol etmeye yardõmcõ olur. “Bir defada doğru şeyi yap” prensibi burada
temel taştõr (Fortuin, 1988 : 2).
Performans Ölçütlerinin Tipleri
Rekabetçi imalat çevresinde, ürünlerini sürekli geliştirmeleri için imalatçõlar
üzerinde yoğun baskõlar vardõr. Tüketici odaklõ üretim felsefesi ürün tasarõmõnõn
müşteri istek ve ihtiyaçlarõnõ karşõlamasõ için sürekli yenilenmesi gerektiğini ortaya
koymaktadõr. İşletmenin imalat birimi açõsõndan, yeni tasarõmlarõ üretebilmek için
sürekli üretim hatlarõnõ düzenleme zorunluluk haline gelmektedir. Buna ilişkin
kararlarõn alõnma esnasõnda, sistem performans ölçütleri ortaya çõkmaktadõr. Bu
ölçütlerin en önemlileri esneklik, güvenilirlik ve üretilebilirliktir. Esneklik, sistemde
gerçekleştirilecek değişik işlere uyum sağlama yeteneği; güvenilirlik, belirli bir
zaman periyodunda yeteri kadar uygun ürün üretebilme yeteneği ve üretebilirlik de
belirli bir görev setini sistemin yapabilme yeteneği olarak tanõmlanõr. Esneklik ve
verimlilik arasõnda ters bir orantõ olabilir, çünkü sistem esnekliğini artõrmak
karmaşõklõğõn artmasõna sebep olursa, verimlilik düşebilir. Belirsizliğin yüksek
olduğu ortamlarda, esneklik rekabetçi bir silahtõr (Nagarur, 1992). Ayrõca, günümüz
imalat stratejisinde önemli yeri olan müşteri odaklõ programlar sistem performansõnõ
iyileştirmek için değişimleri azaltmaya odaklanmõşdõr. Üretim sistemlerini yönetmek
değişim etkilerini ortaya koyacak analitik modelleri gerektirir. Müşteri açõsõndan, en
önemli performans ölçütü teslimat performansõdõr. Müşteri sürekli olarak
ihtiyaçlarõnõn zamanõnda karşõlanmasõnõ arzular. Zamanõnda müşteri siparişini
karşõlama olasõlõğõ belirli bir zaman aralõğõnda üretilen malzeme miktarõnõ
belirlemeye bağlõdõr (Tan, 1998).
Ayrõca, en iyi performans ölçümleme çõktõ ölçütleri ile süreç ölçütlerini
dengelemekten geçer. Bu iki tip performans ölçütünün bütün örgütün sonuçlarõnõ
maksimize edecek çeşitli kategorileri vardõr. Bu yüzden performans ölçütleri süreç
ve çõktõ ölçütleri olarak ayrõlabilir. (Hronec ve diğ., 1993 : 2-3).
a) Süreç Ölçütleri
Süreç ölçütleri süreç faaliyetlerine odaklanõr ve süreç ile beraber insanlarõ motive
eder. Başka bir anlamda, insanlara problemleri önceden tahmin etme ve
önlemelerine imkan vererek süreci kontrol eder. Bazõ süreç ölçütleri şunlardõr: (1)
kurma süresi, (2)iş gören yetenekleri, (3) çevrim zamanõ ve (4) müşteri tepki süresi.
Modern imalat yapõsõnda, imalat performansõnõ iyileştirmek için ,geliştirilen yaratõcõ
programlarõn bazõlarõ stok maliyetlerinde, envanter seviyelerini azaltmada direkt
etkileri olan ayar süresini ve maliyetini azaltmaya odaklanmõşlardõr. Bu programlar
üretim sistemlerinin doğasõnõn değişmesiyle stratejik bir boyut da kazanmõş ve uzun
yõllar boyunca uygulanmõşlardõr. Sõfõr stok politikalarõ takip edilmiş, stoklar
azaltõlmõş ve ayar faaliyetleri çok tekrarlõ ve birbirine yakõn hale gelmiştir Neves,
1992 : 456).
70
b) Çõktõ Ölçütleri
Finansal veya finansal olmayan çõktõ ölçütleri çoğu kez tepe yönetimine sürecin
sonuçlarõnõ raporlar ve bunlar kaynaklarõn kontrolünde kullanõlõr. Bazõ çõktõ ölçütleri
örnekleri şunlardõr: (1) net kar, (2) pay başõna getiri, (3) müşteri memnuniyeti, (4)
örgütsel etkinlik.
Süreç ölçütleri performansõn yatay ve çapraz fonksiyonlu görüşünü teşvik eder.
Örneğin, sipariş alma, ürünü imal etme ve müşteriye teslim süreci yataydõr, dikey
değildir; “müşteri hizmeti” için uygun süreç ölçütleri tek başõna bir departmanca
oluşturulamaz.
Bir üretim sisteminde genel kullanõm görmüş ölçütler verimlilik, etkinlik,
kullanõlabilirlik, bakõm ve üretim kalitesine dayalõdõr. Bu genel kabul görmüş
ölçütleri açarsak, aşağõdaki eşitliklere ulaşõrõz (Cauffriez ve diğ., 1997 : 1298-1301):
Verimlilik =
Teorik çevrim süresi
Ortalama üretim süresi
Hõz =
Kullanõm oranõ =
Ortalama işleme süresi =
Ortalama bekleme süresi =
Kalite oranõ =
Faaliyet kullanõm oranõ=
*
Doğru üretilen
parça sayõsõ
Nominal çevrim süresi
Gerçek çevrim süresi
Ortalama üretim için öngörülen süre
Ortalama üretim süresi + bekleme süresi
Bekleme sayõsõ
Bekleme süresi
Bekleme sayõsõ
Doğru üretilen parça sayõsõ
Doğru veya yanlõş üretilen parça sayõsõ
Ortalama üretim süresi
Performans ölçütlerinin aynõ zamanda üç kategorisi vardõr. Bu kategoriler şunlarõ
içerir (Hronec ve diğ., 1993 : 3):
1.
2.
Kalite ürün veya hizmetin ne kadar “yararlõ” olduğunu belirtir.
Zaman sürecin ne kadar “yararlõ” olduğunu belirtir.
71
3. Maliyet “yararlõlõğõn” ekonomikliğini belirtir.
Bu üç kategorinin hepsine aynõ anda odaklanarak, yönetim bütün örgütün
sonuçlarõnõ en iyi hale getirebilir.
Aynõ zamanda bu üç performans ölçütü kategorisi arasõnda bir ilişki vardõr.
Müşteriler düşük veya uygun bir maliyette yüksek kaliteli bir ürün (beklentilerini
aşan) aldõklarõnda, yüksek değer elde ederler. Müşteri bu ürünü çok hõzlõ bir şekilde
elde ettiklerinde, yüksek seviyeli bir hizmet alõrlar.
SÜREKLİ İYİLEŞTİRME VE PERFORMANS ÖLÇÜTLERİ
Bir işletme biriminde sürekli iyileştirmeyi sağlamak için, kullanõlan en popüler
yaklaşõm E. Deming’in sürekli iyileştirme yöntemidir. Bu yöntemin şematize
edilmiş hali aşağõda verilmiştir (Deming, 1986 : 180)
Planla
Eyleme
Geç
Yap
Kontrol Et
Şekil 1. Sürekli İyileştirme Çevrimi
Yukarõdaki şekilde belirtilen dört kavramõ (planla, yap, kontrol et ve eyleme geç)
açõklayacak olursak (Flaherty, 1996 : 178-180);
• Planla: Bu evre süreçte en zaman alõcõ olan konudur. Temel fikir farklõ bakõş
açõlarõna sahip kişileri bir araya getirip, beraberce nasõl çalõşõlacağõnõ ortaya
koymaktõr. Bu tür tartõşmalar için en çok kullanõlan yöntem beyin fõrtõnasõ veya
balõk kõlçõğõdõr. Temel problem alt problemlere ayrõlõr ve alt problemler de daha
küçük problemlere bölünür. Daha sonra grup problemi çözmeyi sağlayacak verileri
toplamaya başlar. En önemli evrelerden biridir çünkü doğru veriyi toplamak
problemin çözümü için temel taştõr. Daha sonra, toplanan veriler analiz edilir. Bu
analiz yöntemleri kontrol şemalarõ, etki-tepki diyagramlarõ v.b. olabilir. Elde edilen
analiz sonuçlarõndan problemin nasõl çözüleceğinin planlanmasõ yapõlõr. Problemi
doğuran sebeplerin ortadan kaldõrõlmasõ için yapõlacak eylemler planlanõr ve son
olarak da yapõlan plan bütün işletmenin uzlaşmasõ için sunulur.
• Yap: Planlama evresinden sonra, planõn uygulamaya konduğu evredir. Bu
evrede, pilot bir uygulama yapõlõr ve planõn doğru çalõşõp çalõşmayacağõ ortaya
konur.
72
• Kontrol et: Yapõlan pilot çalõşmanõn sonuçlarõ değerlendirilir ve uygulama
dikkatlice incelir.
• Eyleme geç: Planõn uygulanõp uygulanmayacağõ veya yeni çözüm yöntemi
bulunup bulunmayacağõ kararõnõn verildiği evredir. Eğer, plan işletmede
uygulanacaksa, örgütsel sõnõrlar çizilir, yönetim desteği istenir ve bütün bunlardan
sonra “planla” evresine geri dönülerek sürekli iyileştirmenin yollarõ aranõr.
Faaliyetlerin sürekli iyileştirilmesini sağlayacak etkin performans ölçümlemenin
kurulmasõ, faaliyetlerin ölçümlenmesi ile işletme faaliyet sisteminin öncelikleri ve
amaçlarõ arasõndaki bağlantõ ile yakõn ilişkilidir. Bu bağlantõnõn elemanlarõ dört
temel faaliyet performans kriterinin üzerine kurulmuştur (Lynch and Cross, 1995):
•
•
•
•
Kalite,
Teslimat,
Çevrim süresi,
İsraf.
İşletme faaliyet sistemindeki her hangi bir departman veya bölümün genel amacõ
kalite ve teslimat performansõnõ artõrõrken, israf ve çevrim süresini azaltmaktõr. Bu
dört performans kriterini inceleyecek olursak, kalite, müşteri (hem içsel hem de
dõşsal) istek ve ihtiyaçlarõnõ karşõlamak anlamõna gelir. Burada amaç, hatalardan
arõnmõş ürün veya hizmet sunmaktõr. Ayrõca, kalitenin incelenmesi gereken çeşitli
yönleri de vardõr. Bunlar, özellikleri, performansõ, sağlamlõğõ, dayanõklõlõğõ,
güvenilirlik, kolay hizmet edilebilirliği, estetik ve kabul edilebilir kalite seviyesidir.
Örneğin, içsel müşteri için kalite ölçütleri, kabul edilen parça sayõsõ veya oranõ,
denetim gerektirmeyen satõcõ sayõsõ v.b iken, dõşsal müşteri için ise, müşterice kabul
edilen parça sayõsõ veya oranõ, hatasõz ürün yüzdesi v.b.’dir.
Teslimat, kullanõcõ veya müşteriye (içsel veya dõşsal) zamanõnda teslim edilen ürün
veya hizmet miktarõnõ ifade eder. Burada önemli olan zamanõnda ürünü teslim
etmektir. Erken teslimle geç teslim müşterice kabul edilmeyebilir. Teslimat
ölçütlerine, zamanõnda teslim oranõ, acil siparişi teslim etme oranõ, programa göre
gerçekleştirilen zamanõnda üretilen ürün sayõsõ örnektir.
Çevrim süresi, işleme süresi, taşõma süresi, denetim süresi, kuyrukta bekleme süresi
ve depolama süresinin toplamõdõr. Bu süreler içerisinde, yalnõzca, işleme süresi
değer katan süre olarak kabul edilir. Çevrim süresi ölçütlerine örnek olarak, pazara
yeni ürün veya hizmet sunmak için yapõlan geliştirme süresi, imalatõ tamamlama
süresi, departman çõktõ süresi ve makine kurma süresi verilebilir.
İsraf ise, müşteri gereksinimlerini karşõlamada değer katmayan faaliyetler ve
kaynaklarõ ifade eder. İsraf hata, değerleme ve artõk ile ilişkili bütün çaba ve
maliyetleri içerir. İsraf ölçütlerine ise, atõlan malzeme maliyeti, yeniden işleme,
süreç içi hurda sayõsõ, garanti maliyetleri ve iadeler tipik örneklerdir.
Bunlarõn yanõ sõra, işletmelerin sistemlerinde sürekli iyileştirmeyi sağlamasõ gereken
başka yönler de vardõr. Finansal performans ölçütleri ve müşteri odaklõ performans
73
ölçütleri de sürekli iyileştirme için kullanõlmaktadõr. Finansal ölçütler girdileri
çõktõlara dönüştürme sürecinin etkinliğini ölçen sayõsal değerlerdir. Örneğin, nakit
akõşõ, işgören başõna ilave edilen değer, direkt işgücü saati başõna ürün satõşõ v.b.’dir.
Müşteri performans ölçütleri ürün performansõ, güvenilirlik, ürün seçimi ve kolay
hizmet edilebilirlik konularõ açõsõndan müşteri memnuniyetini ölçmeye çalõşõr.
Yukarõda verilen bu ölçüt tipleri örgütten örgüte değişiklik gösterir ve sayõlarõ
artabilir. Bu sayede işletme yönetimi iyileştirme gerekecek alanlarõ tespit etmesi
daha kolaylaşõr. Bu şekilde iyileştirme hiyerarşisi de belirginleşir. Örneğin,
müşterice arzulanan ürünleri ortaya koyacak etkin ürün portföyü planlama sistemi
mevcut değilse, sürekli ürün iyileştirmesi etkin olamaz. Bu, yalnõzca etkinlik ve
verimlilik konularõ ile ilgili değildir, aynõ zamanda üst yönetimin alt kademelerde
etkin faaliyetler için bir yapõ oluşturmasõnõ da gerektirir. Çõktõ iyileştirmeleri
girdilerin tedariki ve işlenmesi ile ilişkili yapõlan eylemlerin sonucudur.
İyileştirmeler gerekli kaynaklarõn tanõmlanmasõ ve elde edilmesi ile girdilerin
işlenmesinde kullanõlan yollarda ortaya konmalõdõr. Girdi iyileştirmeleri satõn alõnan
veya üretilen malzeme, makineler, işgücü, üretim programlarõ, dõşarõdan alõnan
hizmet v.b konularda yapõlabilir. Buradaki temel karmaşa malzemeye bakarak
kaynak kararlarõnõ almada yatmaktadõr. Kurulan açõk kalite standartlarõ, kontrol
edilen tedarikçi performansõ, hammadde ve yarõ mamül kaynaklarõnõn doğru
kontrolü maliyet iyileştirmelerini sağlayabilir. Girdilerle ilişkili performans ölçütleri
belirlenen iyileştirme alanlarõ ile de ilişkili olmalõdõr. Genel anlamda ortaya konan
girdi ölçütleri şunlardõr (Morgan, 1997 : 2):
•
•
•
•
•
•
•
Malzeme birim maliyeti
Malzeme kalite standartlarõ
Depoda malzeme bekleme süresi
İşletme dõşõ kişi veya kuruluşlar için geliştirilen kalite ölçütleri
İşleme süresi
Boşta bekleyen makine süresi
İşgücünün boşta bekleme süresi
Süreç alanõndaki iyileştirmeler girdi kullanõmõ, üretimin önceden planlanmasõ,
potansiyel müşterilerin belirlenmesi, ürün veya hizmet spesifikasyonlarõ, süreç
faaliyetleri ve bütün faaliyetlerin kontrol ve değerlendirilmesi gibi bir çok konuyu
içermektedir. Faaliyetlerdeki iyileştirmeler işleme süresinin azaltõlmasõna ve ürün
kalitesinin artõrõlmasõna yardõmcõ olur. İşleme süresini azaltmanõn çift taraflõ etkisi
vardõr. Hem faaliyet maliyetini azaltõr hem de üretim esnekliğini artõrõr. Süreç
iyileştirmesi sağlayabilecek ölçütler şunlardõr (Morgan, 1997 : 1):
•
•
•
•
•
•
•
•
Üretim programõna uyum
Kapasite kullanõmõ
Stok devri
Zamanõnda teslim
İptal edilen süreçler
Makine bozulmalarõ
Değer katmayan sürenin toplam süreye oranõ
Farklõ üretim şekillerinin hedeflere katõlõmõ
74
Sürekli iyileştirme bir işletme için amaç olduğunda performans belirleyicilerinin
devreye girdiği belirtilmişti. Kişileri yargõlamaktansa, genel sistem etkinliğini ortaya
koymada performans belirleyicileri kullanõlõr. Uygun şekilde kullanõldõklarõnda her
yönetim seviyesi için kullanõşlõ bir araçtõrlar. İşletme amacõ doğrultusunda ortaya
konulduklarõndan ise, işletmenin her alanõnda kullanõlabilirler. Sürekli iyileştirmeyi
desteklerler ve işletmenin her yönünün kontrolünde standart bir araç haline gelirler
(Fortuin, 1988 : 7-8).
SONUÇ
Rekabetin artmasõ ve globalleşme ile işletmeler hayatlarõnõ sürdürebilmek için
gerçekleştirdikleri faaliyetleri ve sonuçlarõnõ çok iyi ölçmeleri ve aksaklõklarõ bulup
gidermeleri gerekmektedir. Bu değerlemeyi yapmak için maliyet, kalite, imalat
süreci ve lojistik konularõnõ doğru, anlaşõlabilir ve gerçekçi verilerle ortaya koyacak
performans ölçütlerini kurmalarõ gerekir. Performans ölçütleri işletmenin gidişatõ
hakkõnda gerekli bilgileri saptar ve yöneticilere karar alma, planlama, kontrol ve
amaçlara uygunluk konularõnda yardõmcõ olurken, iyileştirme gereken alanlar
hakkõnda bilgi verir. Yapõlan iyileştirmeler ve sağlanacak sürekli kontrol işletmenin
başarõsõnda önemli bir paya sahip olacaktõr. Bu amaca yönelik olarak performans
ölçütleri gerekli güncel bilgileri sağlar ve iyileştirmenin sağlõklõ yürütülmesinde
önemli rol oynar. İşletmenin stratejisiyle uygun yönetilmesi açõsõndan performans
ölçütleri doğru, zamanõnda anlaşõlabilir ve güvenilir veri sağlar iken, sürekli
iyileştirme işletmenin başarõya ulaşmasõ için yönelimi ortaya koyar. Bu sebeple
performans ölçütlerine her zaman için gereken önemin verilmesi gerekir.
KAYNAKÇA
BATEMAN, N., D.J. STOCKTON AND P. LAWRENCE. (1999). “Measuring The
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36, 377-393.
CAUFFRIEZ, L., D. WILLAEYS AND J. DEFRENNE. (1997).% “Mesure Des
_ndicateurs de Performance De Lignes De Production: Présentation D’une
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DEMING, E.( 1986), Out Of Crisis, Cambridge, MA: The MIT Press,
DHAVALE, D.G. (1996b), “Performance Measures For Cell Manufacturing and
Focused Factory Systems”, Journal of Cost Management, vol:10, issue:1, spring,
59-70
DHAVALE, D.G. (1996a), “Problems With Existing Manufacturing Performance
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FILIPPINI, R. C. FORZA AND A. VINELLI (1998), “Trade,off Compatibility
Between Performance: Definitions and Empirical Evidence”, International
Journal of Production Research, no:12 vol: 36, 3379-3406
FLAHERTY, A.T. (1996), Global Operations Management, Mc-Graw Hill, Inc.
FORTUIN, L. (1988), “Performance Indicators- Why, Where and How? ”,
European Journal of Operations Research, vol. 34, 1-9
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GHALAYINI, A.M., J.S. NOBLE AND T.J. CROWE (1997), “An Integrated
Dynamic Performance Measurement System for Improving manufacturing
Competitiveness”, International Production and Economies, vol.48, 207-225
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GRADY, M.W. (1991), “Performance Measurement: Implementing Strategy”,
Management Accounting, June, 49-53
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LLP, Amacom, INMAN, M.L. (1997), “Strategic Performance Measurement”,
Technical, ACCA Student Newsletters, June,
KAPLAN, R.S., AND NORTON D.P. (1992), "The balanced scorecard - measures
that drive performance", Harvard Business Review, January - February. pp71-79.
LOCKAMY, A., AND M.S. SPENCER (1998), “Performance Measurement In The
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Manufacturing, Productivity Press, Cambridge,
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vol: 30, 455-468
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Doğuş Üniversitesi Dergisi, 2002, (6), 77-96
KEATS'S "ODE TO A NIGHTINGALE":
AN APPRECIATION IN KEATSIAN AESTHETICS WITH
POSSIBLE SOURCES AND ANALOGUES
Jalal Uddin KHAN
International Islamic University, Department of English
ABS TRACT: Artistically Keats's Nightingale Ode is one of his best conceived and
most satisfying and as such most discussed poems. However, while its principal
theme of the contrast between the permanence of nature and the shortlastingness of
the human lot and that of the precarious nature of creative imagination have received
wide critical attention, the internal and structural mechanisms of the movement of
the thought process and the figures of speech by which those themes and contrasts
reveal!themselves in a controlled!but!suggestive manner have not been examined in
details. This article provides an original, refreshing, and detailed approach, largely
from a New Critical point of view, to those mechanisms in order to show the
poem's essential!unity beneath its apparent tension, irony, ambiguity, and
skepticism, which are indeed part of its aesthetic conception in light of!Keats's own
poetic and aesthetic ideas. But the most original and scholarly point is that it is rich
and comprehensive in bringing together a whole range of possible sources and
analogues of the poem, many of which have been suggested here for the first time.
!
Key Words: sources, analogues, aestheticism,#imagination, and unity
ÖZET: Sanatsal açõdan Keats’in en iyi algõlanan, en tatminkar ve en çok tartõşõlan
şiiri Bülbüle Ağõt’tõr. Ancak şiirin ana temasõ olan doğanõn sürekliliği ile insan
türünün geçiciliği ve yaratõcõ hayal gücünün güvenilmezliği karşõtlõğõ sõkça ve uzun
süre tartõşõlõrken, düşünme sürecinin iç ve yapõsal mekanizmalarõ ve şiirdeki tema ve
zõtlõklarõ kontrollü ama aynõ zamanda öneren bir tavõrla ortaya koyan söz sanatlarõ
detaylõ olarak incelenmemiştir. Bu makale görünürdeki gerilimin, ince alaycõlõğõn,
belirsizliğin ve septisizmin altõnda yatan şiirin temel bütünlüğünü göstermek için
şiirin iç mekanizmalarõna orjinal, canlandõran detaylõ bir yaklaşõm ve yeni eleştirel
bir bakõş açõsõ getirmektedir. Fakat en önemli ve ciddi nokta, şiirin mümkün olan
tüm kaynaklarõnõ, benzerlik ve zõtlõklarõnõ en kapsamlõ biçimde bir araya getirmesi
ve bunlarõn çoğunu ilk defa bu makalede öne sürmesidir.
Anahtar Kelimeler: kaynaklar, analoglar, hayal gücü ve bütünlük
For I have ever thought that it might bless
The world with benefits unknowingly;
As does the nightingale, upperched high,
And cloister'd among cool and bunched leaves-She sings but to her love, nor e'er conceives
How tiptoe Night holds back her dark-grey hood.
Keats, Endymion, Bk.I, ll. 826-31.
78
Jalal Uddin KHAN
It is a flaw
In happiness to see beyond our bourne-It forces us in summer skies to mourn;
It spoils the singing of the nightingale.
Keats, To J.H.Reynolds (1818), ll.282-85.
A 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,
who feels that they are moved and softened, yet know not whence or why. Shelley, A
Defence of Poetry 1
Let me begin by referring to the British nature writer Richard Mabey (May, 1997),
who introduces the nightingale to his readers as a small brown bird, which has been
popular, free or caged, for its song in the West as far back as the Roman Empire. He
mentions that it has had a number of roles in Western culture--from a wood spirit to a
symbol and messenger of love to a harbinger of spring. At one time listening to the
nightingale became "a euphemism for sexual frolicking" and then it was used in "love
potions and in nostrums for improving the voice." Mabey reports that in 1924 there
was a live outside broadcast of "a duet between a nightingale and Beatrice Harrison,
Britain's leading cellist at the time, which the BBC transmitted from her woodland
garden."
Written in May and published in July 1819 in Annals of the Fine Arts, Ode to a
Nightingale is probably the second of Keats’s odes composed that spring. As pointed
out by Miriam Allott, it shares its metrical pattern, one of its unique artistic beauties,
with what is supposed to be the first: Ode to Psyche. While its “regular ten-line
stanza, consisting of one quatrain from a Shakespearean sonnet followed by the sestet
of a Petrarchan sonnet” is used in the rest of the great odes that followed it, its
“shortened line which was a feature of the irregular strophes in the Ode to Psyche” is
not there in other odes (Allott, 1995, 523). Equally distinctive are its other elements:
style and diction and condensed expression. Although the poem uses the common
subject of the nightingale, the poet’s treatment of it is highly individual with a fresh
Romantic approach to it. 2 One of the most widely discussed of Keats’s poems, Ode to
1
See The Norton Anthology of English Literature, Sixth Edition (1993), vol. 2, p. 758.
Henceforth, Norton. Shelley wrote his Defence in 1821, which is also the year of his
Adonais, an elegy on the death of Keats. Perhaps the above lines from the Defence also
were intended as a tribute to Keats, just as the Defence itself as a whole was written as a
response to Thomas Love Peacock's ironic and satirical essay, The Four Ages of Poetry . As
their letters indicate, both Keats and Shelley were in touch with each other at the time,
writing about their recent poetical compositions.
2
Apart from countless references to the bird, also referred to as Philomel (from the
mythical Philomela), in Western literature, there are many poems addressed to it,
including, among others, the anonymous medieval The Owl and the Nightingale, The
Cuckoo and the Nightingale, Philip Sidney’s The Nightingale (1581), Crashaw’s
Music’s Duel (involving a lute-player and a nightingale), Charlotte Smith’s To a
Nightingale and On the Departure of the Nightingale (1784), Coleridge’s To the
Nightingale (1796) and The Nightingale: A Conversation Poem (1798). Dorothy Hewlett
Keats's "Ode To A Nightingale": An Appreciation In Keatsian Aesthetics With Possible...7 9
a Nightingale charts the rise and fall of the poet’s imaginative power and inspiration: it
“traces the inception, nature and decline of the creative mood, and expresses Keats’s
attempt to understand his feelings about the contrast between the ideal and actual and
the close association of pain with pleasure” (Allott, 524).
Perhaps one of the most famous bird poems in English literature, Ode to a Nightingale
is commonly placed among the greatest of Keats's Odes—subtle, fine, more than what
its sensuous experience and luxurious indulgence suggest. Critics have strongly
supported its claim to the status of a supreme order as the work of a consummate
artist. However, it is F.R. Leavis (Ed. 1962), who demonstrates, in what is in a sense
a response to critics before him, the beauty and richness of the Ode as a unified whole
in terms of its artistic qualities. 3 Leavis’s analysis is a performance in literary criticism
which, even before the term was invented, had come very close to what came to be
known as New Criticism. 4 He disagrees with Murry's elucidation of the "deep and
natural movement of the poet's soul" underlying Keats’s poems, for, he, in agreement
with Symons, says that Keats "was not troubled about his soul, or any other
metaphysical questions, to which he shows a happy indifference, or rather, a placid
unconsciousness." Leavis (p. 312) also dismisses Murry's equation of Keats' Odes with
the works of Shakespeare's mature stage as "extravagantly out," giving his reasons
why he thinks Keats’s Odes suffer as they do when measured against certain standards
governing the actual achievement, on the one hand, and "promise and potentiality," on
the other. Complementing Symons' admiration that Keats "practised [ahead of time]
the theory of art for art's sake," Leavis shows that Keats is a better artist than just an
able practitioner of that theory suggests. In reference to what Bradley says of the Ode to
a Nightingale in comparison with To a Skylark, Leavis (p. 315) comments:
Now, if intellectual structure is what Shelley characteristically exhibits, the Ode
to a Nightingale may freely be allowed to lack it. But the superiority of the Ode
over To a Skylark, which beside it appears a nullity, is not merely a superiority o f
details… The rich local concreteness is the local manifestation of an inclusive
sureness of grasp in the whole. What the detal exhibits is not merely an
extraordinary rightness and delicacy of touch; a sureness of touch that is the
working of a fine organization. The Ode, that is, has the structure of a fine and
complex organism; whereas To a Sk y lark is a mere poetical outpouring, its ecstatic
(p. 317), points out that "the conception of the happy nightingale, a conception unknown
to the old poetry, came perhaps from [Coleridge's] The Nightingale." Robert Gittings (p.
463), mentions the same connection between Coleridge's and Keats's nightingales.
Coleridge's "The Nightingale" is a seminal conversation poem by Coleridge in the
launching of the Romantic Movement, containing the simple but haunting line, "In Nature
there is nothing melancholy," written perhaps in response to Milton's melancholy
nightingale in "Il Penseroso," and taken to be defining Romanticism against
Neoclassicism.
3
4
Also see Scrutiny Vol. IV, No. 4 (March 1936) and Rev aluation (October 1936).
Defined, simply, as a close reading of the text, New Criticism leaves out elements of
biography and literary history and, instead, focuses on the linguistic, rhetorical, and other
internal aspects of tension and contradiction (irony, ambiguity, paradox) of a work of art to
show that it stands on its own, independent of everything else and unified by its own laws
and patterns beneath its apparent disunity.
80
Jalal Uddin KHAN
‘intensity ’ being a substitute for realization in the parts and for a realized whole to
which the parts might be related.
The above is the main argument of Leavis's critical appreciation of the Ode. Before I
turn to a detailed discussion of the Ode as an illustration of Keats’s sensuousness and
aestheticism, let me take a brief look at some essential details of those ideas relevant to
his development as a great poet.
Keats is commonly acknowledged as the most aesthetic and most form-conscious of all
the English Romantic poets. His Odes, while marked by a classical sense of economy
of form, are a record of a state of intense feeling, which achieve their effect through
alliteration, structural contrasts, synaesthetic and kinesthetic imagery, and careful
choice of words, suggesting “a delicate balance between the body and the soul.” In
other words, they suggest that Romantic spontaneity and longing for spiritual
transcendence be expressed with a certain degree of discipline and control. Like
Wordsworth in Preface to the Lyrical Ballads, Coleridge in Biographia Literaria and
Shelley in A Defence of Poetry, Keats attempts to formulate his ars poetica in his
letters and carries his poetic and aesthetic theories into practice in his poems. 5 His
ideas of "the authenticity of the imagination," "life of sensations rather than of
thoughts," "truth," and "beauty" demonstrate not only his conception of life and art but
also his commitment to the principle of pure aesthetic pleasure. His idea of
imagination is that it is impersonal and disinterested in character without any moral or
didactic content. He called it “negative capability,” which he thought Shakespeare
"possessed so enormously." Among his other views toward the definition of his
aesthetic theory is “loading every rift" of the subject with "ore," meaning a thrifty use
of words to achieve a concentration of meaning and thereby “intensity” as the mark of
excellence in art. 6 Combining both the expressive and the objective modes of literary
art, his later poetry, especially the odes, “surprise[s] by a fine excess" and fills us with
"a luxuriant content." However, it also presents itself as a "well-wrought urn" (from
Donne's The Canonization) or a "storied urn" (from Gray's Elegy), like Keats’s own
"Grecian urn," a finished product in itself, remarkable for its linguistic beauty and
structural unity. The result is a unique aesthetic accomplishment, giving the work the
status of a self-sufficient and self-sustained entity, defined by its own internal laws of
contextual coherence and linguistic patterns. It is perhaps from such consideration that
Cleanth Brooks (1947, 151) opens his essay on "Ode on a Grecian Urn" by saying that
5
His early poetry, with its problems and procedures, luxuriating in the external beauties of
nature and documenting his developing views of poetic art, myth, and reality is a record,
like Wordsworth's "Tintern Abbey" and The Prelude, of the Keatsian parallels of the stages
of poetic growth.
6
For excellent critical analyses of Keats's aesthetic and poetic ideas, see W.J. Bate's 1963
essay "Keats's Negativ e Capability and the Imagination" in The Romantic Imagination, ed.
John Spencer Hill (Macmillan, 1977), his 1957 essay "Keats's Style: Evolution Toward
Qualities of Permanent Value" and Douglas Bush's 1957 essay "Keats and His Ideas," both
in English Romantic Poets, ed. M.H. Abrams (1960).
"There is much in the poetry of Keats which suggests that he would have approved of
Archibald MacLeish's dictum, A poem should not mean/But be."
Like the other major Romantic poets, Keats is highly distinctive in his attitude to
nature. While all of them seek transcendence through imagination and imaginative
treatment of nature, that treatment varies. For Wordsworth, nature is a powerful agent
imparting profound moral and spiritual lessons and exercising chastening and
consoling influence in moments of suffering; for Byron, it reflects individual force of
freedom of will expressed through moods of ego, despair, bitterness, and cynicism; for
Shelley, it becomes an inspiring power propagating revolutionary gospels of liberty
and equality as opposed to forces of tyranny and oppression; for Keats, it excites
human thirst for sensuous as well as aesthetic experience leading to his inner world of
being and accentuating his joys and pains. The Wordsworthian didacticism, which
Keats describes as “egotistical sublime,” Coleridgean naturalizing of the supernatural,
Byronic search for an impossible perfection in what he thinks to be a ruined world, and
Shelleyan escape into an unrealistic futurist philosophy of Love and Beauty have no
place in Keats's sensuous and aesthetic devotion to nature, expressed in concrete and
pictorial images. Consistent with his aesthetic ideals of literary art, his great odes, each
"uniquely rich and magical tapestry," derive their aesthetic effects from the "inlaid
beauties of image and phrase and rhythm"(Bush, ed. Abrams, 1968, 333-4). He
employs every technical means of poetic skill to gain intensity of sense impressions
and deepen his meditative response to the source of his poetic inspiration.
The aesthetic beauty, which lies in its expressiveness and exaltation, reflecting man's
inner world in the external form, heightens the thematic contrast between the real and
the ideal, the temporal and the eternal. It intensifies Keats’s joyful, romantic longing
for the world of art and nature as he struggles to transcend the inevitability of that of
time and flux. His imaginative participation in the ideal becomes acutely poignant
because of his awareness of the fleeting nature of not just the joys of life, but also of
that participation itself. He lets himself to get lost in his passionate joy to the extent
of having no personal identity only to wake up to conscious reality with a mature
understanding. The knowledge he finally acquires -- that his imaginative attainment of
the ideal and the fanciful is possible only in a dream that can be sustained only for a
moment and must be followed by a return to the actual world of death and disease – is
a knowledge of the ultimate hard reality of life.
Thus, Madeline in The Eve of St. Agnes discovers the limitations of romance as she
awakens from her dream not only to see that her romantic wish has come true but also
to re-enter the human condition of "eternal woe." Reality dispels the vision of the
knight in "La Belle Dame Sans Merci," leaving him "haggard" and "woe-begone." In
much the same way, Keats discovers the limitations of art in the Grecian Urn Ode
where the urn may turn the impermanence of the warm exciting life into the
permanence of drawing and engraving and may initially seem to be an imperishable
source of joy with immortalizing power, but eventually it is proved to be nothing
more than a mere cold shape, "no better than flesh-and-blood experience, however brief
and unhappy that may be." In "Ode to a Nightingale," the poet comes to question the
means of transportation itself--the imagination--to the ideal world of nature represented
by the nightingale: "The fancy cannot cheat so well/As she is fam'd to do, deceiving
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elf." Both in general movement and specific parallels, the half-conscious, dreamy,
sensuous reverie of the Keatsian persona in a pastoral setting, followed by a return to
ordinary consciousness, anticipates that of the Mallarmean faun in relation to his two
nymphs. Both "Ode to a Nightingale" and "A Faun's Afternoon: Eclogue" (1876)
provide lofty discourses on the contrasting nature of the ideal and the mundane; both
are enigmatic, pastoral, and symbolic (Symbolist?), exploring the conflicting claims
of the imagined and the real, twilight areas of consciousness, and the possibility of
making permanent an exquisite experience.
The usual movement of the treatment of this typical Romantic theme is that the poet
takes a Romantic flight from the real world into the world of fantasy and then returns
to actuality. Watson (1992, 365 & 34) says that "The pattern of a going-out and return
is common in Romantic poetry," which he applies especially to Keats, who he
considers to be "the most self-conscious of young poets." The return is not without a
gain in the sense that the poet ultimately discovers that as a human being it is futile to
try to escape from what is inescapable or into what is impossible---the fact of the
physicality of human condition and hence human mortality and the humanly
unreachable state of pure joy and complete perfection respectively. Abrams (1971) calls
this movement the Romantic plot of the circular or spiral quest cast in a symbolic
mode. Taking the form of a pilgrimage, the journey in search of transcendence
gradually leads the pilgrim back toward his point of origin in earthly reality. The
spiritual journey back home may be defined as
the painful education through ev er ex panding k nowledge of the conscious subject as
it strives---without distinctly k nowing what it is that it wants until it achiev es it--to win its way back to a higher mode of the original unity with itself from which,
by its primal act of consciousness, it has inescapably div ided itself off...So
represented, the protagonist is the collectiv e mind or consciousness of men, and
the story is that of its painful pilgrimage through difficulties, sufferings, and
recurrent disasters in quest of a goal which, unwittingly , is the place it had left
behind when it first set out and which, when achiev ed, turns out to be ev en better
than it had been at the beginning (Abrams, 190). [my emphasis].
The "painful pilgrimage" that Abrams refers to contains the elements of the Keatsian
opposition or ambivalence between idealism and skepticism. Both the Nightingale and
the Grecian Urn Odes express the poet's divided self as they grow out of creative
tension between pull and counter-pull. "From first to last," says Bush (1937, 82),
"Keats's important poems are related to, or grow directly out of...inner conflicts." In
those two Odes where conflict is of central importance, "Keats feels," Bush remarks,
"not so much the joy of the imaginative experience as the painful antithesis between
transient sensation and enduring art." The Nightingale and the Grecian Urn Odes are
justly celebrated for their characteristic representation of the complexity of the
unresolved tensions in the poet's mind. What is more interesting is that the poet seems
to be contented with his imaginative discovery of the unresolvable ambiguity of his
own experience. 7
7
The doubts and conflicts of these two Odes are reconciled in "Ode on Melancholy," in
which the poet asserts the inseparability of joy and pain, followed by "To Autumn," in
which there is a sense of calm acceptance of and serene resignation to the natural, cyclical
process, and which ("To Autumn") is regarded to be artistically superior to the Nightingale
Ode to a Nightingale begins with a sense of ambiguity of experience even before the
poet is aware of its paradoxical nature. The poet says that he is so much overwhelmed
with joy at the song of the nightingale that he feels a painful dissolution of his senses
as if he has taken a large dose of poisonous product or intoxicant. His descent from an
aching sensation into a state of self-forgetfulness is implied by “drowsy numbness,”
“dull opiate,” and the mythological Lethe. It is possible that the reference to the Lethe
has its origin in Coleridge, who in Biographia Literaria (published in the summer of
1817) had subjected Wordsworth’s idealization of childhood in the Immortality Ode
to such questions as: “In what sense is a child of that age a philosopher? At what
time were we dipt in the Lethe, which has produced such utter oblivion of a state so
godlike?” Interestingly, the whole of the Nightingale Ode is interspersed with
intimations from the Immortality Ode, if not from recollections of early childhood.
There are many common elements: the birds singing a joyous song, the moon in the
bare heavens, sleeping and forgetting, fading of “the vision splendid” into the light
of common day, “human suffering,” “the philosophic mind,” and, above all, the
thought of immortality itself, emerging from “The glory and freshness of a dream”
and put to questions like “Whither is fled the visionary gleam? / Where is it now,
the glory and the dream?”, which are precisely how the Nightingale Ode concludes.
Except for the major figure of the child and the notion of predestination in the
Immortality Ode, Keats’s Ode is thus characterised by a number of themes and ideas,
even words and phrases, which either echo or are drawn from Wordsworth’s Ode. In
fact, the Wordsworthian elements, either as a source or as an analogue, pervade the
poem as it will be shown below.
Coming back to the origination of the thought-process in the Nightingale Ode, the
loss of self-consciousness at the beginning of the poem is the result of a trance-like
experience caused by an excessive joy, concurrent with the intensification of
imaginative inspiration and spiritual awareness about the source of that happiness. The
oxymoronic blending of intense pleasure and numbing pain, that is, the sense of
painful pleasure conveys a peculiar state of mind distinct from everyday reality and
prepares the poet for a visionary flight. The movement is from a sense of diminished
life ("drowsy," "numb," "dull," "sunk") to that of full life ("happy," "green," "lightwinged," "full-throated ease"). The impulse to journey into the higher realm of the
nightingale becomes stronger in the second stanza as the poet longs for various
intoxicants, cool as well as warm, as the means for the intended flight. The complex
synaesthetic imagery, involving the senses of sight, smell, taste, and hearing all
together, suggests that the journey into the dim forest is to be made not by the
annihilation of these senses but through their intense gratification. The reference to the
mythological Hippocrene is particularly significant, for, as the fountain of the neverdying Muses, it contrasts with the earlier reference to the mythological Lethe as the
river of forgetfulness and becomes a symbol of the poetic aspirations for permanence
and immortality.
The third stanza takes the Ode's dialectic pattern further by directly putting it in the
larger context of the reality of human condition--the temporal world of sorrows and
and the Grecian Urn Odes.
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sufferings. The contrast between reality and transcendence, advance and withdrawal, is
brought to focus by what Leavis calls the "prosaic matter-of-fact" tone of this
"completely disintoxicated and disenchanted" stanza. Fogle (1968, 381) considers the
stanza as being "low-pitched,...by itself unremarkable but functioning as an integral
part of the poetic whole." The enumeration of human ills, like the human suffering
noted in the third stanza of the Grecian Urn Ode, is foreshadowed by "the agonies, the
strife/Of human hearts" in Sleep and Poetry (ll.124-25) and anticipates "Love's sad
satiety" of Shelley's "To Skylark." Both the world of nature represented by the singing
bird and the world of art depicted on the urn lead the poet to the same painful awareness
of human reality—an awareness influenced by Wordsworth’s The Excursion, Tintern
Abbey, and the sonnet “Weak is the will of Man.”8 The dualities between the poet's
opposed instincts of joy and pain are developed through a pattern of progression and
regression--a pattern that is evident since Sleep and Poetry and I Stood Tip-Toe.
Contemplation of the miseries of the world constitutes a familiar Romantic theme.
The Romantic poets had a deep insight into the tragic aspects of life and their poetry is
full of melancholy notes. Although Byron, as Abrams points out, does not fit into the
commonly understood Romantic frame of mind for his cynical, satiric, or mocking
tone, sometimes even the Byronic despair at the condition of being bound to "this
degraded form" (CHP.3.699), "a fleshly chain" (CHP.3.685) or "dull life in this our
state/Of mortal bondage" (CHP.4.41-42) finds expression in elegiac reflections about
human life, very similar to those of Keats's. 9 However, Keats's presentation of the
8
Keats was an admirer of Wordsworth whose poetry was a constant source of delight to
th
him. In a letter to Haydon on January 10 1818, he said: “There are three things to rejoice at
in this age: The Ex cursion, your pictures and Hazlitt’s depth of taste.” In that sense, as
Moorman (p. 80) and Gittings (p. 464) point out, the present stanza, particularly the line
"The weariness, the fever, and the fret," is a transmutation of the saintly Wanderer’s wise
and consoling words elicited by the sceptical Solitary's description of his sufferings in The
Ex cursion (1814), which was among Keats' favourite readings:
While man grows old and dwindles and decays;
And countless generations of mankind
Depart and leave no vestige where they trod.
(Bk. IV, ll. 760-62)
Keats’s lines also resemble "the weary weight/...the fretful stir/...the fever of the world” in
Tintern Abbey.
9
"We wither from our youth, we gasp away—
Sick--sick; unfound the boon--unslaked the thirst
Though to the last, in verge of our decay,
Some phantom lures, such as we sought at first-But all too late,--so are we doubly curst.
Love, Fame, Ambition, Avarice--'tis the same,
Each idle--and all ill--and none the worst-For all are meteors with a different name,
And Death the sable smoke where vanishes the flame."
(Childe Harold, Canto IV, ll. )
"Our life is a false nature--'tis not in
The harmony of things..................
Disease, death, bondage--all the woes we see,
condition of human suffering is different from the lyric cries of pain in his fellow
Romantics, especially Shelley, for he does not directly speak out his own plight from
which he consciously attempts to disengage himself. He seems to achieve his catharsis
by means of his "negative capability" of observing from a distance the general human
lot. Commenting on his "controlled detachment," Paul de Man (1966, xxiv) says:
Suffering play s a v ery important role in [Keats's] work , but it is always the
suffering of others, sy mpathetically but objectiv ely perceiv ed and so easily
generalized into historical and univ ersal pain that it rarely appears in its subjectiv e
immediacy ...his intense and altogether genuine concern for others serv es, in a
sense, to shelter him from the self-k nowledge he dreads. He is a man distracted from
the awareness of his own mortality by the constant spectacle of the death of others.
He can go v ery far in participating in their agony...the suffering referred to is so
general that it designates a univ ersal human predicament.
Despite his capability to maintain an objective distance, Keats's participation in the
agony of others becomes deeper by his awareness of his own suffering, which in turn
becomes objectified through that of others. The result is that he can devote himself
wholeheartedly to an experience of a pure, intense joy, no matter how brief that may
be.
That is what takes place at the opening of the Nightingale Ode when the poet feels
himself absorbed in the happiness of the bird to the extent of being self-oblivious. It is
the same sensuous experience that the poet returns to after a survey of the suffering
human community when he takes a visionary flight into the imagined ideal world of
Nature in the fourth stanza. If the pessimistic meditation on the human predicament
delays his imaginative flight, it is a necessary momentary delay that helps to build
momentum required to launch the flight and determine its nature. Echoing the
"charioteer" and the "Bacchus" images from Sleep and Poetry (l.127 & l.334
respectively), Keats says that he is going to use the medium of poetry, that is,
imagination, as opposed to stimulants, to reach the world of the nightingale. 10 The
vivid and compact description of the enchanted dark green of “verdurous glooms and
winding mossy ways” appears to have been taken out of Keats’s own letter to Tom and
George Keats describing his (and his friend Charles Brown’s) delightful walk along the
shores of the Windermere in the Lake District on their way to Scotland in June 1818.11
The moon image is analogous to that in a number of Wordsworth’s poems, especially
An Evening Walk (ll. 355-60), The Excursion (Bk. IV, ll. 1062-1070), The Prelude
(Bk. IV, ll. 88-92), “A Night-Piece,” and the sonnets “With how sad steps, O Moon”
and “The Shepherd, looking eastward,” all of which, except The Prelude, were probably
known to Keats as they were all published by 1815.
And worse, the woes we see not--which throb through
The immedicable soul, with heart-aches ever new."
(Childe Harold, Canto IV, ll. )
10
Watson (p. 362) observes the influence of Titian's Bacchus and Ariadne on Keats's Sleep
and Poetry and "Ode to a Nightingale."
11
th
th
Keats writes to his brothers, dated June 26 and 27 : “Our road a winding lane, wooded
on each side, and green overhead, full of foxgloves …the tone, the coloring, the slate,
the stone, the moss, the rock-weed … I shall learn poetry here.”
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The outpouring of joy in the magic realm of starry sky and moon-lit landscape
indicates that the fourth and the fifth stanzas mark the climax of the poem. Keats's
keen perception, penetrating to the essence of things, provides him with intimations of
immortality and transcendence. The joy and happiness felt in an abstract way in the
first and second stanzas seem to be "repeated in a finer tone," to use a phrase of Keats's,
in the marvellously pictorial fifth stanza:
I cannot see what flowers are at my feet,
Nor what soft incense hangs upon the boughs,
But, in embalmed darkness, guess each sweet
Wherewith the seasonable month endows
The grass, the thicket, and the fruit-tree wild;
White hawthorn and the pastoral eglantine;
Fast-fading violets cover'd up in leaves;
And mid-May's eldest child,
The coming musk-rose, full of dewy wine,
The murmurous haunt of flies on summer eaves.
As the poet points "not to dissolution and unconsciousness but to positive
satisfactions, concretely realized in imagination," there occurs a "rich evocation of
enchantment and delighted senses," with "the touch of the consummate artist ...; in the
very piling up of luxuries a sure delicacy presides" (Leavis, 317).
In the stanza quoted above the music of the language created by the "s" sound and the
rich texture of the synaesthetic imagery suggest that the poet is lost in a spontaneous
luxuriance of feeling. In its soft, overflowing lyricism and vivid description, the stanza
is astonishingly similar to Oberon's speech in A Midsummer Night's Dream. 12 Both
Shakespeare and Keats know their flowers and know how to describe them. According
to Vendler (1983, 84), it is Shakespeare and not the living Nature, who is Keats's
source for the above lines. 13 The plausibility of such a claim is not to be doubted since
Keats, by his own admission in his letters as well as in his early poetry, allowed
himself to be influenced by his Elizabethan predecessors, including Spenser and
Shakespeare, in an attempt to avoid the eighteenth century Popian style. The muskroses -- a rambling rose with fragrant white flowers -- and eglantines appear in his
!
12
13
I know a bank where the wild thyme blows,
Where oxlips and the nodding violet grows,
Quite over-canopied with luscious woodbine,
With sweet musk-roses, and with eglantine.
There sleeps Titania, sometime of the night,
Lull'd in these flowers with dances and delight.
(A Midsummer Night's Dream,II.i.249-254)
Helen Vendler (1983, p.84). Gittings, on the other hand, traces Keats's source to
Dryden's "The Flower and the Leaf," which is a modernization of a medieval poem and
which, Gittings claims, was one of Keats's favourite poems. See Gittings, 463.
early poems such as "To a Friend Who Sent Me Some Roses" and Endymion just as
the fairy queen Titania and the idea of faries appear in the former as well as "To
Charles Cowden Clarke" and "On Receiving a Curious Shell …" as they do later in
the present poem. Critics including Vendler have definitively traced the obvious
literary sources of such influences and references not only to Shakespeare's A
Midsummer but also W. Sotheby's translation (1798) of Wieland's Oberon (1780)
and Milton's Lycidas -- all of which were known to Keats.14 Making his way through
his "burden of the past" (W. J. Bate) and "anxiety of influence" (Harold Bloom), he
was, however, able to transform that influence into something inimitably his own. In
his poetic techniques, sonnet-stanzas, and fresh images he demonstrates himself to be
so original that his lines seem to have been inspired by his own aesthetic impulse to
the beauty and variety of the immediate external nature and not to the world of literary
art. Even when he turns to art, as he does in the Grecian Urn Ode, he is able to turn it
into something uniquely his own, so much so that the readers are swayed to his mood
and not to the physical entity of the urn itself.
When Philip Sidney in An Apology for Poetry (or The Defence of Poesy) defends
poetry by saying that the poet creates another nature by endowing the earth with a
variety of pleasant associations, he certainly anticipates Keats's flower stanza, which
makes, in Sidney's phrase, "too-much-loved earth more lovely" (Ed. 1993, Vol.1, p.
483 & Ed. 1962, p. 8). Art, however, reproduces the unpleasant as well, as Keats's
third stanza does. Sidney's defence of poetry is, therefore, partial just as his definition
of poetry as something that teaches through delight, combining both the Homeric
function of pleasure and Hesiodic function of instruction, is not wholly acceptable, for
the element of didacticism is conspicuous by its absence in Keats. In the realm of art
everything is transmuted into the aesthetically beautiful: tragic and comic, a Shylock
as well as a Portia, a Desdemona as well as an Iago, a Mona Lisa as well as a
Guernica. Like Macbeth's last moment conception of life as "a walking shadow" or as
"a tale told by an idiot," that of Keats's as "The weariness, the fever, and the fret" or as
"a burning forehead, and a parching tongue" is clothed in a light that is never there in
mere reality and that gives a certain order and pattern to human suffering. As Shelley
(Ed. 1993, Vol. 2, p. 763) says in his A Defence of Poetry:
Poetry turns all things to lov eliness; it ex alts the beauty of that which is most
beautiful, and it adds beauty to that which is most deformed; it marries ex ultation
and horror, grief and pleasure, eternity and change; it subdues to union, under its
light y ok e, all irreconcilable things.
The question is one of aesthetic experience of the beauty of reality transferred to the
world of art. To an artistically reflective mind, Keats's sensuously described flowers or
the ever-young lovers sculptured on the Grecian urn provides more aesthetic pleasure
than the real life figures just as the "infinite variety" of Shakespeare's Cleopatra or the
"serpentining beauty" of Browning's Lucrezia ("Andrea del Sarto") seems to be more
captivating than that of a real woman.
14
See Charles and Mary Cowden Clarke, Recollections of Writers (1878, pp. 131-2), and
W. Beyer, Keats and the Demon King (1947).
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The aesthetically entranced Keats, unmistakably sounding Lawrentian, wishes to pass
away as he imagines himself to be in the home of the nightingale, listening to her
song in the moonlit "embalmed darkness."15 Death is felt to be not just a release from
the earthly confinements and mortal pains but also a means to perpetuate the moment
of ecstasy. Hints of death-wish have been given by the state of numbness,
forgetfulness, and being faded away "into the forest dim" in the first two stanzas. That
state of stasis and the sense of painful mortality summoned up in the third stanza are
very different from the poet's wish for death in the fifth stanza which comes out of his
sense of a higher mode of existence:
Now more than ever seems it rich to die,
To cease upon the midnight with no pain,
While thou art pouring forth thy soul abroad
In such an ecstasy!16
According to Leavis, the phrase "rich to die" is the epitome of the Ode. This is a death
Keats has been longing for since early in his poetic career. In Sleep and Poetry, he
expresses his wish to "die a death/ Of luxury" in the midst of the intoxicating earthly
pleasures. His mood of "easeful Death" and that of Shelley's at the opening of "To
Constantia, singing" are similar:
15
D. H. Lawrence, who, like Keats, died of tuberculosis at the age of forty-four in the south
of France whose vitality is evoked in Keats's poem, invoked his end, just before his death,
using deep-rooted elemental images of sensuousness like those of Keats's:
Give me the moon at my feet
Put my feet upon the crescent, like a Lord!
O let my ankles be bathed in moonlight, that I may go
Sure and moon-shod, cool and bright-footed
Towards my goal.
16
Like the flower stanza above, the source of this expression of death-wish may be traced
to Shakespeare. After their reunion at Cyprus following a severe storm at sea, Othello is
happy and thankful to Desdemona who has brought tranquillity to his tempestuous life:
O my soul's joy!
If after every tempest come such calms,,
May the winds blow till they hav e wak en'd death!.....
If it were now to die,
'Twere now to be most happy; for I fear
My soul hath her content so absolute
That not another comfort like to this
Succeeds in unknown fate. (II.i.186-195, my emphasis)
In both cases (Othello and Keats), it is the excess of happiness that culminates in the
thought of death. Ironically, we know, what a painful and protracted death was in store for
both of them! Another Shakespearean moment that we may recall in this connection is
when Antony, following the assassination of Julius Caesar, also wishes to die a
particularly meaningful death: "There is no hour so fit/As Caesar's death hour.../Live a
thousand years,/I shall not find myself so apt to die:/No place will please me so.../As here
by Caesar..." (Julius Caesar, III.i.154ff.)
Thus to be lost and thus to sink and die,
Perchance were death indeed!---Constantia, turn!
Shelley's poem comes very close to Keats's in several poetic techniques, including
vocabulary, phraseology, and alliteration. As Shelley is listening to Constantia's "fast
ascending numbers," he feels the "enchantment" of her "strain" to the extent of flying
from the worldly limitations into the limitless skies:
And on my shoulders wings are woven,
To follow its sublime career,
Beyond the mighty moons that wane
Upon the verge of Nature's utmost sphere,
Till the world's shadowy walls are past and disappear.
Like Keats's nightingale, Constantia's music proves overpowering for Shelley:
As morning dew that in the sunbeam dies,
I am dissolved in these consuming ecstasies.
The list of similarities in diction and imaginative movement goes on.
It is Shelley's "To a Skylark," however, that easily comes to one's mind to draw a
comparison with. Both the nightingale and the skylark elicit similar yet different
responses from the two poets. As the nightingale "singest of summer in full-throated
ease," so also the skylark pours its "full heart/In profuse strains of unpremeditated art."
Both of them belong to an ideal region beyond wordly existence. Like the nightingale,
the skylark's "keen clear joyance" is conspicuous by its "ignorance of pain," an
absence of "langour" or "sad satiety." The skylark is, however, more aerial, more
etherial, and dimmer than the nightingale, which is more natural, more distinct, and
more vivid. While both are symbolic of the soaring spirit of imagination, freedom, and
the principle of lyric poetry, the skylark is conceived in a social and intellectual vein,
and the nightingale in an aesthetic and sensuous vein. The skylark is implored to teach
and share with the poet its lyrical gifts so that he can make the world listen to his
political idealisms; the nightingale is adored for its being a source of pure joy and
expressive beauty without "human verbal ideational content" and without the
representational function of the visual arts. The lively song of the nightingale,
"tuneless and timeless," to use Vendler's terms, is "nonrepresentational,"
"nonconceptual," and "nonphilosophical." In both poems, it is the listener himself
who gives spiritual and philosophical meaning in his own way to his nonhuman
subject as he arrests the "spontaneous overflow of [his] powerful feelings" in words.
Keats's attempt to do so is made, as the line "Though the dull brain perplexes and
retards" suggests, by holding his self-consciousness in conscious suppression and not
by what Coleridge called "willing suspension." His reasoning faculty, held in check,
re-asserts itself when he realizes that in the silence of death he would simply become a
"sod," separated from his source of joy. The realization, paradoxical in nature, is that
he can be "too happy" at the happiness of the nightingale so long as he remains in his
mortal state; to overleap the mortal bounds is to pass into nothingness. The
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skepticism inherent in the situation---tendency to escape the earthbound condition and
the sense of futility at the discovery of the limits of that escape---enhances the quality
of the poet's aesthetic appreciation and experience of the bird's song. Thus the Ode
"moves outwards and upwards," in Leavis' (p.315) words, "towards life as strongly as
it moves downwards towards extinction; [it] is, in fact, an extremely subtle and varied
interplay of motions, directed now positively, now negatively."
The understanding of the fact and nature of human mortality leads Keats to reflect on
the immortality of the nightingale in the seventh stanza:
Thou wast not born for death, immortal Bird!
His earlier desire to die and then not to die as he speaks of his becoming a sod now
turn into a longing for immortality, or, as Leavis (p. 318) put it, “a strong revulsion
against death." He (Keats) "entertains at one and the same time the desire to escape into
easeful death ... and the complementary desire for a full life." The elevation of the
“Bird,” endowed with a life of unmixed joy, to the status of immortality suggests that
Keats is thinking not of the nightingale itself singing at the moment but of its song
and the natural species. In other words, what he means is not the "song-bird" or its
physical state of being but the "bird-song," as it belongs to and is made permanent
through the species, which had been beautiful for centuries and would continue to be
so long after the passing away of human generations one after another. For Keats, as
his Endymion opens, "A thing of beauty is a joy for ever," not subject to the flux of
its worshippers. So is the nightingale, which symbolises "the principle of beauty in
all things," to use Keats's own phrase.
It has been mentioned before that there are many common elements including the
notion of immortality between the Nightingale Ode and the Intimations of Immortality
Ode. However, with regard to the theme of immortality as suggested by a living object
of nature, perhaps Wordsworth’s Vernal Ode provides a better and more striking
parallel. Written in the spring of 1817, and published in 1820, the purpose of that
poem, Wordsworth says, was “to place in view the immortality of succession where
immortality is denied” through the “bright spectacle” of a colourful woodland bee that
appeared in his imagination to his “spiritual eye.” The “mysteriously remote and high
ancestry” of the bee singing of the golden age of the past and of its “native habitations”
free from “decline” and “wintry desolations” helps “to place in view the immortality of
succession” just as Keats’s “No hungry generations” portion does. The fourth stanza of
the Vernal Ode beginning with
O, nursed at happy distance from the cares
Of a too-anxious world, mild pastoral Muse!
and continuing with
Wrapped in a fit of pleasing indolence,
While thy tired lute hangs on the hawthorn-tree,
To lie and listen—till o’er-drowsed sense
Sinks, hardly conscious of the influence—
To the soft murmur of the vagrant Bee…
clearly reminds us of the third and first stanzas respectively of the Nightingale Ode.
The intertextuality between the two poems goes on with the thoughts of “grosser
sight,” “death” and “decay,” on the one hand, and a setting of deep and shady foliage,
“draught of vital breath,” and “vision of endurance and repose,” on the other, in
Wordsworth’s poem being echoed in that of Keats’s.
The notions of temporality and timelessness are brought together by Keats in
harmonious relationship without being in conflict in:
No hungry generations tread thee down;
The voice I hear this passing night was heard
In ancient days by emperor and clown:…
As Gittings (1985, 464) points out, the verses hauntingly echo Wordsworth's "The
Solitary Reaper" (‘No nightingale did ever chaunt’ and the following). Watson (p.365)
considers Keats’s stanza, in its movement from the poor of the past to the ancient
royalty to the mythical Ruth to "Charm'd magic casements" beyond time, as "a
marvellous example of the travelling imagination," showing what he thinks the
influence of Claude's The Enchanted Castle. Keats's travelling imagination, with
respect to the "self-same song" that "Charmed magic casements, opening on the
foam/ Of perilous seas, in faery lands forlorn," perhaps goes back, as it meditates not
just over the nightingale/s but the species of birds in general, to the fable of the
ancient halcyon, a bird thought to have bred, as Oxford English Dictionary says,
"about the time of the winter solstice in a nest floating on the sea, and charmed the
wind and the waves so that the sea was specially calm." Further credibility to this
idea may be given in light of the numerous appearances of halcyon in his poems
such as "To Charles Cowden Clarke" (l. 57), "To The Ladies Who Saw Me
Crowned" (l. 7) and Endymion (I. l. 453-5; III. l. 923). Throughout the Nightingale
Ode Keats's imagination "reveals itself," according to Coleridge's definition of
imagination in Biographia Literaria, "in the balance or reconcilement of opposite or
discordant qualities."
Similarly, Keats's romantic longing for a transcendent home is balanced by the
mythical Ruth's nostalgic craving for reunion with her loved ones. The sense of her
ideal homely ties rooted in the common earth nicely contrasts with the remoteness of
the "faery lands forlorn" and results in the combined effect of making the poet
painfully aware of the increasing distance between him and the source of his
inspiration, the nightingale. With such an awareness of the instant and the primordial,
the upward flight of imagination cannot be sustained any longer. The meditative trance
with which the poem begins and which reaches its peak in the fourth and fifth stanzas
starts declining with the poet's death-wish in the sixth, which closes with the reflection
that after death he would at best have his ears "in vain" and "become a sod" to the
"high requiem" of the nightingale. The decline continues through the images of
"hungry generations" and "the sad heart of Ruth...sick for home" in the seventh stanza
and becomes complete with the transition between this penultimate stanza and the last
as the word "forlorn" closes the former and opens the latter to toll the poet back to his
"sole self." His slow withdrawal from the world of fancy and the bird's slow retreat
92
Jalal Uddin KHAN
from the vicinity of the poet's physical location, widening the ever-existing gap
between the two, are marked by the slow rhythm of the verses towards the close of the
poem. The verses ("Past the near meadows...In the next valley-glades")--in which
Fogle (p.383) thinks "objective description and subjective emotion are fused"--record
the "process of withdrawal" in terms of physical locale and landscape. Similarly, the
two closing lines,
Was it a vision or a waking dream?
Fled is that music:--Do I wake or sleep?
do so in terms of the poet's own mind whose spark exhausts itself down the line of
denouement like "a fading coal," to borrow Shelley's image. 17 The element of ironical
ambiguity and skepticism implicit throughout the poem and explicit at the end
undercuts the success of Keats’s momentary transcendence but completes his aesthetic
experience at the level of human perception.
Return to reality with a mature understanding of it is also accompanied with a
knowledge of the limitation of the power of imagination which, the poet discovers,
can deceive him only for a brief moment. The imagination is identified with the
nightingale and that identification is made complete when imagination departs the poet
at the same time the nightingale does. Once he is back to his normal state of being, he
questions the reality of the whole experience and finds himself in a state of doubt, selfdivision, half-knowledge. This state of tentative attitudes is actually a common real
human state, "half-way between the haggard and woe-begone knight of La Belle Dame
Sans Merci and the fulfilled female figure playing her part in the natural process in To
Autumn" (Hirst, 1981). Keats's experience--aesthetic escape into and return from the
world of the nightingale--broadens his sane and sympathetic understanding of the
realities of life, time, and space. 18
17
In A Defence of Poetry , Shelley writes: "the mind in creation is as a fading coal which
some invisible influence, like an inconstant wind, awakens to transitory brightness..." See
Norton, 761.
18
Quite in contrast, Byron's understanding of the imperfections of the human lot seldom
leads him in the direction of Keats's. It gives rise, instead, to the Byronic moods of
cynicism, desperation, exasperation, and bitterness. In the words of Abrams, Byron stands
single, among the English Romantics, in his "ironic counter-voice" and "a satirical
perspective." However, at times he too comes very close to Keats in his aesthetically
conceived transcendental dream of achieving "ideal beauty" (CHP, Canto III, l. 740) in the
creations of the poet's mind:
'Tis to create, and in creating live
A being more intense, that we endow
With form our fancy, gaining as we give
The life we image...... (CHP, Canto III, ll.46-49)
The Beings of the Mind are not of clay:
Essentially immortal, they create
And multiply in us a brighter ray
And more beloved existence....(CHP, Canto IV, ll.37-40)
Once again, Wordsworth’s sonnet “I heard (alas! ‘twas only in a dream),” also called “I
saw (alas! in a dream),” published in 1819, provides a strong analogy to the whole
process of dreaming and waking with regard to a natural source of inspiration in a
living bird. In the sonnet Wordsworth dreams about “A most melodious requiem, a
supreme/ And perfect harmony of notes, achieved/ By a fair Swan,” which is
unmistakably similar to the “high requiem” of Keats’s nightingale. Just as Keats’s
“dull brain perplexes and retards,” Wordsworth’s “dull earth partakes not, nor desires.”
When Keats says, “Thou wast not born for death, immortal Bird!,” Wordsworth says,
“Mount, tuneful Bird, and join the immortal quires!” As the nightingale flies away
over the hills and meadows with the poet only listening “in vain” and waking to
reality, the swan “soared” and the poet “awoke, struggling in vain to follow.” In this
way many other words and phrases from the sonnet such as “dream,” “waking ears” and
“drowsy” are relived in the Ode as if it could scarcely have had its being without
Wordsworth.
According to Yeats (The Symbolism of Poetry), Blake's pictures and Keats's Odes are
symbolic in the sense that in them colors, sounds, and forms combine to evoke "an
infinite emotion" and "a perfected emotion." The finely wrought imagery of the
Nightingale Ode is appealing to the senses of hearing, smell, and sight, and usually to
more than one sense at a time. This synaesthetic image-making has the effect of
producing a greater intensity of the imaginative experience recorded in the poem. Keats
is always careful to enhance the sense impressions, reinforced by melodious assonance
and alliteration. The simultaneous repetition of vowel and consonant sounds, of
compound words and epithets, along with superb inversions, is intended to contribute
to the desired poetic effect. Yeats also distinguishes between Blake and Keats by saying
that while Blake celebrates the energy of "eternal delight" and makes his poetry out of
his passionate identification with everything he sees, Keats gives us a poignant sense
of separation from what he presents in the form of romantic longing for "otherness."
Keats's is an aesthetic experience born of the tensions between identification and
detachment or, in Burkean terms, self-preservation and self-propagation, the beautiful
and the sublime.
It is interesting to note that the Keatsian conflicts between idealism and skepticism are
similar to the Yeatsian ones in "Sailing to Byzantium" and "The Wild Swans at
Coole." Yeats also wishes to escape from the actualities of the biological world of
process—birth, decay, and death—into the permanent world of art where he would
assume the shape of a golden bird. But it is obvious that he would then become a mere
cold artifact free from the pulsating, throbbing process, though still looking from a
distance and singing of the flux of the world of the living. After Keats and before
Yeats, the famous Danish writer of fairy tales, Hans Christian Andersen, showed the
difference between the beauty of the natural and the precision of cold science in his
short story “The Nightingale.” Like Keats's nightingale, the fullness of life of Yeats’s
"wild swans" makes him aware of his growing old age and with it possible poetic
decline. The symbolization of the faculty of imagination by the abundance of life
embodied in the swans implies that their disappearance from the sight of the poet is
going to signal a loss of his creative powers just like the nightingale's fading away
signals the break of Keats's spell of imagination.
94
Jalal Uddin KHAN
Keats's nightingale is the "objective correlative" for his emotions and feelings. As
Eliot defines the term, the object of nature acts as a medium through which the poet
attempts to objectify his subjective impressions about the process of life fraught with
tragic consequences. Of the "three voices of poetry," identified by Eliot in the essay by
the same title as the meditative, the dramatic, and the didactic, Keats's poem combines
the first two with the total exclusion of the last. The meditative content, however,
gives in to the dramatic in the form of a symbolic debate as the poem progresses
through a process of "advance and withdrawal," giving an impression of a living
speech and a need for discourse. There is a sense of rhetorical urgency and intimacy in
the form of lyric "I-You" address. 19 The "I" of the poem is a poetic persona, a poetic
mask, not the poet's own self, which is thus not directly involved in the debate
between the listener and the object of his listening. As de Man (p. xxiv) says:
One nev er gains an intimate sense of Keats's own selfhood remotely comparable to
that conv ey ed by other romantic poets. The "I" of the nightingale ode, for instance,
is always seen in the mov ement that tak es it away from its own center. The
emotions that accompany the discov ery of the authentic self, feelings of guilt and
dread as well as sudden moments of transparent clarity , are lack ing in Keats....He
mov es away from the burden of self-k nowledge into a world created by the combined
powers of the sy mpathetic imagination, poetry and history , a world that is
ethically impeccable but from which the self is ex cluded. (my emphasis)
"The burden of self-knowledge" that de Man refers to is actually at the center of Keats's
aesthetic experience. He is troubled by his knowledge of human mortality and that of
his immediate family members, including his own, as we see when we take his
biography into account. It is this knowledge from which he wishes to distance and
dissolve himself in the "otherness" of aesthetic sensuousness as he proceeds from the
center to the circumference. When the process is reversed, that is, when he is back to
the center at the end of the poem with a maturer understanding of it, he questions the
idealist and aestheticist tendencies of his desire. Yet (and this is precisely the point I
wish to make) his aestheticist impulse is more gratified than not in his descent from
the ideal to the real. That is why he seems contented with the unresolvable ambiguity
of his experience. Since the green nature in which he finds the joyful sensation that he
seeks is also real, it can be said that (the idea is implicit in Vendler's analysis) Keats is
aestheticizing the real as well, not just the ideal. This is as much an escape--an
unintended irony perhaps--as his desire for reaching the state of the bird's song or that
of the figures on the Grecian urn. 20
19
For an interpretation of the "I-You" form in lyric poetry, see W.R.Johnson (1982, pp. 123). Watson (p. 364) discusses the function and mechanism of "thou" in Keats’s Ode.
20
It should be mentioned here that the pattern of Keats's aestheticism that I present here
changes in his last poems. There is in the Hy perion poems a clear indication that he knows
that he ought to be writing another kind of poetry, a poetry that will not be a mere fevering
of himself but will begin with a knowledge of the pain and suffering of human hearts and
will be a consolation to readers. And to prepare for that, as he says in his letters, he needs
knowledge and philosophy--a step away from mere aestheticism.
Keats's nightingale is an aesthetically perceived object in much the same way as
Robert Frost's tuft of flowers in the poem by the same title. Unlike Keats, Frost,
however, never leaves the earth, always letting his practical sense of reality prevail
over the romantic tendency to give in to fancy. Although Frost is a romantic in his
characteristic ways, he does not yield to the temptation of the music of the thrush (as
in "Come In") nor does he linger to contemplate the sensuously inviting landscape
nearby (as in "Stopping by Woods on a Snowy Evening"), preferring to attend to the
distant obligations and responsibilities. While Keats discovers the limitations of his
imaginative quest after having plunged into imaginative contemplation and ultimately
becomes better equipped to confront both the real and the ideal with a far-reaching
vision, Frost seems to be armed with a foreknowledge of the dangers of imaginative
dallying and therefore is refrained from full participation in the romantic flight. The
result is a characteristic Frostian earthy didacticism whose literary quality lies in its
irony, ambiguity, and paradox--something that Frost shares with Keats.
Keats's aesthetic and sensuous passion for the beauty of nature precludes any moralism
and didacticism. After having pointed out his passion for what he (Keats) described as
"the mighty abstract idea of Beauty in all things," Matthew Arnold rightly observes
that "in one of the two great modes by which poetry interprets, in the faculty of
naturalistic interpretation, in what we call natural magic, [Keats] ranks with
Shakespeare."21 Despite his indebtedness to the literary tradition of the past, Keats
establishes an Emersonian "original relation" with nature, independent of his
knowledge of history and human society, just as he creates his own stanza-form out of
the tradition of two sonnet forms. 22 As Emerson (ed. 1968, 357) says, "Nature will
not be Buddhist; she resents generalizing, and insults the philosopher in every moment
with a million of fresh particulars." Keats experiences many emotions in contact with
"fresh particulars" of nature in the form of its sights and sounds. He belongs to that
school of Idealist Aestheticians who hold that spiritual element is introduced to the
phenomena of nature not by God but by man's own consciousness. Beauty, in their
view, is merely a particular condition of the human mind. And Keats as a poet shows a
remarkable acumen for such conditions in which he captures the beauty and variety of
natural sights and sounds with a sense of the immediate as well as the primitive in
aesthetically satisfying form and style.
21
.Essays in Criticism, Second Series, ed. S.R. Littlewood (Macmillan, 1960) p. 71. Arnold
continues to say that for the faculty of "moral interpretation," in which Shakespeare
equally excels, "Keats was not ripe." Arnold, however, is quick to say that in short literary
works such as Keats's poems, in which "he is perfect," "the matured power of moral
interpretation and the high architectonics...are not required" (p. 72).
22
Gittings (p. 454) thinks that it is a Shakespearean quatrain followed by a Miltonic
sestet. Watson (p. 362) who gives a detailed picture of Keats's adaptation of the form
thinks that it is a variation of the Shakespearean and the Petrarchan patterns combined.
96
Jalal Uddin KHAN
REFERENCES
ABRAMS, M. H. (1971). Natural Supernaturalism: Tradition and Revolution in Romantic
Literature. New York: Norton.
BROOKS, C. (1947). The Well Wrought Urn: Studies in the Structure of Poetry. New
York: Harcourt, Brace and Co.
BUSH, D. (1968). "Keats and His Ideas." In Abrams M. H. (Ed.) English Romantic Poets.
New York: Oxford University Press.
______. (1937). My thology and the Romantic Tradition in English Poetry .
Massachusetts: Harvard University Press.
EMERSON, R. W. (1968). Nominalist and Realist. In Lewis Mumford (Ed.) Essays and
Journals (p. 357). Nelson Doubleday.
FOGLE, R. H. (1968). A Note on Ode to a Nightingale. In Abrams M. H. (Ed.) English
Romantic Poets. New York: Oxford University Press.
GITTINGS, R. (1985). John Keats. London: Penguin.
rd
HEWLETTE, D. (1970). A Life of John Keats (3 ed.). London: Hutchinson. (Original work
published in 1937).
HIRST, W. (1981). John Keats. Boston: Twayne.
JOHNSON, W. R. (1982). The Idea of Ly ric: Ly ric Modes in Ancient and Modern Poetry .
University of California Press.
KEATS. (1995). Keats: The Complete Poems. In Allott Miriam (Ed.), Longman
Annotated English Poets. (Eighth Impression).
_____. (1966). In De Man, Paul (Ed.), The Selected Poetry of Keats, (Introduction, p .
xxix). The Signet Classic Poetry Series.
LEAVIS, F. R. (1962). Keats. In D. J. Enright & Ernst De Chickera [henceforth called ECT]
(Ed.) English Critical Texts. London: OUP.
MABEY, R. (May, 1997). May, Month of Nightingales. Reader's Digest.
MALLARME, S. (1967). In Anthony Hartley (Ed.), The Penguin Book of French Verse,
(Vol. 3, p. 90). Baltimore, Maryland: Penguin.
_______. (1962). In Elaine Marks (Ed.), French Poetry from Baudelaire to the Present,
(p. 89). The Laurel Language Library Series. New York: Dell Publishing.
VANDLER, H. (1983). The Odes of John Keats. Harvard University Press.
WATSON, J. R. (1992). English Poetry of the Romantic Period 1789-1830. London and
New York: Longman.
EUROPEAN MONETARY UNION, EURO AND IMPACTS OF
EURO ON TRNC ECONOMY BASED ON A POSSIBLE
MEMBERSHIP OF TRNC TO EMU
Hüseyin ÖZDEŞER
Yakın Doğu Üniversitesi, Ekonomi Bölüm
ABSTRACT: EURO is in the use of European Union economy since 1/1/2002.
Although England is against the EURO; the majority of the member nations of
European Union is supporting heavily the use of the EURO. For the time being
TRNC (Turkish Republic Of Northern Cyprus) doesn’t have it’s own printed
currency and it’s using the currency of Turkish Republic. The main aim of this study
is to figure out the possible impacts of Euro on TRNC economy if TRNC becomes a
full member of the European Union hence European Monetary Union.
Keywords: EURO, Northern Cyprus, European Union, European Monetary Union.
ÖZET: EURO, Avrupa Birliği ekonomisinde tek para birimi olarak 1/1/2002
tarihinden itibaren yürürlüğe girmiş durumdadır. İngiltere EURO’ya karşı durumda
olsa bile yine de Avrupa Birliği üyesi birçok ülke EURO’nun güçlü bir şekilde
savunulucuğunu yaspmaktadırlar. KKTC’nin (Kuzey Kıbrıs Türk Cumhuriyeti) şu
an için kendisine ait bir para birimi bulunmamaktadır ve para birimi olarak Türkiye
Cumhuriyeti’nin para birimini kullanmaktadır. Bu çalışmanın amacı eğer KKTC bir
şekilde AB’ye ve buna bağlı olarak Avrupa Para Birliği’ne üye olursa ekonominin
ne yönde etkileneceğini ortaya koymaktır
Anahtar Sözcükler : EURO, Kuzey Kıbrıs, Avrupa Birliği, Avrupa Para Birliği.
INTRODUCTION
In the European Union (EU) EURO is on the screen with an irreversible case since
1/1/2002. EU is on the way of being a super power and its main target is to establish
European United States. Although it’s not an easy target; still it’s the dream of many
European Union member countries.
It is a luxury question for the EU to search for an answer for EURO as yes or no;
because if the EU is aiming to be a super power just like United States; then it has to
use a single currency for all of its macroeconomic activities. Because a single
currency is the main issue for establishing a single market hence a single country.
With the divided financial sectors it’s not possible for the EU to be an alternative
super power against the United States.
TRNC at the moment is a non-recognized state. Although its existence, all countries
except Turkey insistently rejecting the existence of the TRNC. At the moment as a
republic; TRNC doesn’t own it is currency and using the currency of Turkish
Republic. In other terms, TRNC doesn’t have an efficient working central bank
hence efficiently working monetary policy. A high level of inflation has been
imported to TRNC because of the high inflation in Turkey since 1974.
98
Hüseyin ÖZDEŞER
If TRNC after a possible solution in the island becomes a full member of EU hence
EMU, then it will have a chance to use EURO in its economy. This will bring a lot
of differences to the TRNC economy; where it has been struggling with high
inflation imported from Turkish Republic. Starting using the EURO will mean no
inflation and no risk of devaluation for TRNC economy. As TRNC doesn’t have its
own currency, then TRNC will not have the costs of changing its currency with
EURO just like many other candidate countries to EMU (European Monetary
Union). For TRNC there will be only the huge advantages of starting to use EURO
for its economic activities.
I. WHAT IS EUROPEAN MONETARY UNION (EMU)
The main aim of the European Monetary Union (EMU) is integrating the real
economic and monetary sectors of the member nations. For the European Union
adjusting an economic union has always been a main target. The Maastricht Treaty
(1992) is completing the missing parts of EMU. In technical terms, a “Monetary
Union” consists of an arrangement between participating countries in which: a)
bilateral exchange rates (the exchange rates between one member state and another)
are permanently fixed, with no margins for permissible fluctuations; and b) there are
no institutional barriers (such as legal controls) to the free movement of capital
across frontiers. (Baimbridge, Burkitt, Whayman, 2000: 20).
For an efficient working of monetary union these conditions must be fulfilled. For
example, before the German reunification in 1990, the domestic currency of the German
Democratic Republic (East Germany) had been fixed at a 1: 1 exchange rate against
German Federal Republic’s Deutschmark since 1949, but this arrangement can not be
accepted as a monetary union. The determined exchange rate was only applied within the
East Germany, as its known the export and import of Ostmark was prohibited.
In addition to irrevocably fixed exchange rates and the abolition of all capital
controls (which have already been removed under the EU’s 1992 programme- see
(Echini, 1988)- the structure of monetary union in Maastricht Treaty involves
changing the national currencies with a common currency, which is named as
“Euro”. The adoption of a single currency in the European Union will help to make
the monetary union more permanent, by increasing the costs to participating states
of withdrawing from the arrangement (Delors, 1989).
II. THE EXPECTED BENEFITS OF EUROPEAN MONETARY UNION IN
EURO-ZONE
The major of EMU can be classified as there will be no more exchange rate uncertainty on
intra- EU trade transactions costs on cross- border trade will be eliminated, there will be a
greater price transparency and also based on the stability commitment of European Central
Bank (ECB) the future monetary stability will be guaranteed. (see also Eichengreen, 1990;
Begg, 1991; Barell, 1992; Emerson, 1992; Ackrill, 1997;de Graume, 1997).
2. 1. Greater Nominal Exchange Rate Stability
EMU would end the uncertainty that nominal exchange rate fluctuations presently bring
to intra- EU trade and investment (de Graume, 1988; Krugman, 1989). While it is true
that increasingly sophisticated financial institutions provide a form of insurance against
exchange rate uncertainty these “hedging” facilities are not costless and their cost reflects
the potential saving to the EU adopting Euro. These savings are likely to be greater for
the smaller member states whose currencies are not widely used in international trade.
European Monetary Union, Euro And Impacts Of Euro On Trnc Economy Based…
99
Similarly, the savings are likely to be greater for small and medium- sized enterprises
(SMEs) than for large multinational corporations, which can hold diversified currency
portfolios and support dedicated treasury department to manage exchange rate risk
(Baimbridge, Burkitt, Whyman, 2000 : 21).
Moreover, for long-time horizons, so-called ‘forward’ facilities are not universally
available. Such considerations have a special importance for members of the EU, the
raison d’être of which is to facilitate cross-border movements of goods, services,
labour and capital. Advocates EMU argue that the potential gains from membership of
the EU cannot be realized in the long-term unless countries are able to exploit their
own, unique comparative advantages fully (Jenkins, 1977; Britton, 1991). To achieve
this, economic resource- land labour, capital and enterprise- must be transferred from
relatively less, to relatively more efficient sectors and the commercial decisions which
make such reallocations possible depend critically upon expectations of the future. To
the extent that uncertainty about the future course of intra- EU exchange rates may
inhibit the restructuring of production by which the potential gains from greater trade
are translated into reality, EMU should therefore accelerate economic integration- and
so economic growth- within the EU (Emerson, 1992).
Euro-skeptics argue that, although as a single currency ‘Euro’ will eliminate exchange
rate risk from intra-Euro itself will still have some fluctuations against US dollar and
the Japanese yen. Table 2. 1 shows that, for each of the member states, trade with other
EU countries dominates their trade with the rest of the world. For the EU as a whole,
intra-EU trade (measured by imports) amounts to an average of 14.1 percent of GDP,
with extra-EU trade amounting to 8.5 percent of GDP (Intra EU trade is nearly double
compare with the extra-EU trade). The trade between EU countries will be also in a
higher stability as Euro will eliminate the exchange rate uncertainty. Specially, the
stability of Euro against U. S. D dollar and yen will play a major role for the stability
of the imports and exports of EU. Here ECB must have a co-operation with the central
bank of USA and Japan for a stable Euro against dollar and yen.
Table 2. 1 Intra-EU and extra-EU imports (1995)
Intra-EU Imports (% GDP) Extra-EU Imports (% GDP)
Austria
21.4
8.4
Belgium/Luxembourg
40.2
12.8
Britain
12.9
10.6
Denmark
16.4
7.6
Finland
14.0
9.7
France
11.3
6.4
Germany
10.5
8.3
Greece
14.5
6.9
Ireland
27.5
21.7
Italy
12.0
6.2
Netherlands
26.1
14.2
Portugal
24.3
8.5
Spain
13.1
7.1
Sweden
17.7
10.6
EU 15
14.1
8.5
Source: European Commission, European Economy: 1999 review; p.96.
100
Hüseyin ÖZDEŞER
2. 2. Reduced Transaction Costs
All the business and leisure travelers are very familiar with the transaction costs
involved in changing currencies. These charges are made by banks to reflect their
deployment of resources (such as personnel and equipment), as well as the
opportunity costs of holding stocks of foreign exchange. For those who are tourists
and are dealing in small retail amounts, these charges can easily amount to 10
percent of the value of the currency charged. For the multinational business the
transaction costs of switching between currencies are much smaller. According to
the estimated suggestions, by Euro as the single currency in the EU as a whole, will
eliminate transaction costs which will yield savings of between 2-3 percent of total
EU Gross Domestic Product, but at the moment there is general belief that, the more
likely savings will be between 0.25 percent and 0.5 percent of GDP (Artis, 1991)
2. 3. Greater Price Transparency
When Euro will replace the national currencies in 12 EMU member states, then all
the goods and services in 12 member states will be charged by Euro. In this case the
consumers will have a chance to compare the prices of the products across national
markets, so the price differences will be easily justified. There is no doubt that the
competition will be more efficient in the Euro-zone (for an example, see Table 2. 2).
Table 2. 2 Average price differences (net of taxes) of same automobile
(cheapest country=100)
1993
1995
Belgium
116
122
Britain
120
120
France
121
121
Germany
124
128
Ireland
115
112
Italy
100
102
Netherlands
115
121
Portugal
108
108
Spain
108
105
Source: European Commission, European Economy: 1999 review; p.122.
2. 4. Low and Stable Inflation.
European Central Bank, which is designed by the architects of the Maastricht
Treaty, is the guarantor of low and stable inflation in the Euro-zone.
Table 2. 3 Average inflation rates (private consumption price deflator)
1961–70
1971–80 1981–90
1991–97
Austria
3.5
6.3
3.6
2.6
Belgium
3.1
7.2
4.6
2.4
Britain
3.9
13.3
6.0
3.7
Denmark
5.8
10.4
5.8
1.9
Finland
4.7
11.5
6.4
2.5
France
4.3
9.8
6.2
2.1
Germany*
2.8
5.2
2.6
3.0
Greece
2.5
13.2
18.3
11.9
Ireland
5.1
14.0
7.1
2.2
101
Italy
Luxembourg
Netherlands
Portugal
3.8
2.5
4.1
2.8
14.6
6.5
7.6
173
10.0
5.0
2.3
17.3
Spain
5.8
15.0
9.3
Sweden
4.1
9.6
8.2
EU 15
3.9
10.6
6.5
* West Germany only 1961-91
Source: European Commission; EU Economy: 1999 review, p.106.
5.0
2.4
2.3
6.1
4.8
3.8
3.6
Table 2.3 shows average inflation rates over the last four decades. It reveals that
Germany has successfully achieved low inflation over the period since 1961 and that
those countries (Netherlands, Belgium, Luxembourg, Denmark, Austria and more
recently France) which have pegged their currencies to the Deutschmark, so
effectively using the Bundesbank to set their national monetary policies, have
imported similar inflation performance. On the other hand countries like Britain and
Italy together with Spain, Portugal and Greece have suffered persistently records and
EMU offers them to cover up their poor inflation position.
2. 5. Interest Rate Harmonization.
In Euro-zone all the banks will use Euro in their financial activities. In this case, the
banks in the Euro-zone will supply the credits with single currency. Normally, this
will rise up the credit competition between the EU banks. As a result, there will be a
downward pressure on the interest rates. Obviously a fall in the interest rates in the
Euro-zone will lower the cost of investments so the economy will boom. According
to the econometric studies made by the European Commission; in the Euro-Zone
there will be approximately 30% economic growth by the introduction of Euro.
It’s very important to point out here that, all the expected positive impacts of Euro
cannot take place in EMU member countries within a short-time period. The
adaptation of Euro in EMU member countries will require at least 2-3 years. We
should know that, Euro is the currency of twelve EMU members, which are
realizing 20 percent of the world trade and production; because of this for a stable
world economy, Euro doesn’t have any chance to fluctuate in international money
markets.
III. THE GENERAL COST ANALYSIS OF EMU
The general cost of introducing EURO will be the main change in the accounting
units and the cost of converting outstanding financial and other long-term contracts
into the single currency. The introduction of the common currency will come after a
period of stable exchange rates, and all the conversing rates applied to existing
contracts in order to convert payment obligations from national currencies into euro
will be equal to the market rates of exchange. The introduction of euro will therefore
not lead to any wealth distribution. It will be redenomination, but it will not make
anybody richer or poorer. (Gros and Thygesen, 1998: 299)
The main argument against EMU, namely that ‘pooling’ “monetary sovereıgnty”
(transferring the power to change interest rates and the exchange rate from national
governments to the EMU) will prevent governments from stabilizing their national
102
Hüseyin ÖZDEŞER
economies has great force, but it is often overstated and widely used without
reference to the well-known costs of the alternative uncoordinated monetary policy
making. ( Baimbridge, Burkilt, and Whyman, 2000: 30)
It’s important to draw a distinction between utilization policy and growth policy.
On the other hand if a member nation of EMU is hit by a shock that does not affect
the rest members in the same way, then the nation will fight the shock with itself
alone, and the member nation will not have a chance to set its interest rates.
For example, if there is a fall in the demand of some products; then this will cause a
rise in the unemployment level due to lower level in the production. With a floating
exchange rate it could re-invigorate demand by cutting interest rates-which would
itself stimulate domestic demand, as well as lowering the value of its currency so
that the demand for exports recovered. But under single currency the member nation
will not have a chance like this.
How serious a problem in the absence of this policy lever? It is exactly the same as
the problem facing say California. If the demand for computer falls, than the
negative impacts of this on California will be greater than rest of America. But in a
such a case Federal Reserve will show a very little respond to the problem that is
limited to California? Now the question rises, which is; what happens to California?
If the shock is permanent, then in California the unemployment will rise. Then real
wages will fall, thus improving competitiveness, and in addition some workers
decide to leave. By contrast, if California had its own currency and a flexible
exchange rate, then it could devaluate its currency so restring competitiveness
without so much fall in unemployment level. This would have certainly been
preferable. Similarly, if the shock is temporary, California goes through a period of
unemployment, which could have been sharpened if California had control of its
own interest rates.
The same argument also applies in reverse. California experiences a rise in demand
for its goods, so in this case it does not have a chance to resolve its currency so as to
reduce the upward pressure on domestic prices. Instead, it has to experience higher
prices, which eventually reduce its competitiveness and bring its economy back into
balance.
But still, nobody advise that California should have its own currency. This suggest
that the real problems caused by regional shocks one not generally intolerable.
However, some people say that the US analogy is not relevant to Europe, because
Americans are much more willing to move between region than Europeans are
between countries. This is certainly true, and it eases the change in real wages that
would otherwise be needed in response to a permanent stock. In addition the Federal
budget provides greater transfers when a states economy is in difficulty, which
would hardly happen in Europe.
On the other hand the US states are more prone to region-specific shocks than the
states of Europe. This is because there is much more regional specialization in the
US than there is Northern Europe-with many industries concentrated in a very few
103
US states. By contrast the economies of Northern Europe are much more similar to
each other (see table 3.1) and therefore less vulnerable to localized shocks.
There has however been one huge regional shock, from each Europe is still
recovering-the shocks of German re-unification. The rebuilding to East German
enormously increased the demand for German output. One solution would have been
to allow an appreciation of the D-Mark relative to the French Franc so that
foreigners found German goods more expensive and bought less of them, thus
reducing the overheating of the German economy. This would have solved the
problem of inflationary pressure on prices inside Germany.
However the French government would not accept the idea of German appreciation
(thus behaving as if the Franc and the D-Mark were already one currency). In
consequence German prices inevitably rose in response to excess demand.
Table 3.1 Distribution of car production across four main regions (%)
Within USA
Within Europe
Midwest
67
Germany
38
South
25
France
31
West
5
Italy
18
North-East
3
UK
13
Total
100
Total
100
Source: European Commission, European Economy, 1999 review, p.56.
The Bundesbank was unwilling to accept this inflation, and therefore raised interest
rates. This eventually imposed enough deflation on Germany to bring inflation under
control. But it caused serious unemployment in France. This is a clear example of
how the linking of currencies can cause problems when there is a shock to one
country and not to others in the same currency area (Baimbridge, Burkitt and
Whyman, 2000: 60-61).
As a conclusion the introduction of Euro would offer important benefits to member
states, most notably the elimination of exchange rate risk and transactions cost ,
greater price transparency and the guarantee of future monetary stability. The costs
of EMU to member states are much less certain and lie primarily in the costs of
sacrificing monetary sovereignty and adopting a common, non-inflationary
monetary policy. While the convergence of national inflation performances prior to
EMU would minimize the transitional unemployment costs of adopting a single
currency, the likelihood of future asymmetric shocks and the continuing
segmentation of national economies imply that certain member states may be
disadvantaged by adhering to a common monetary policy. Nevertheless, lucas
critique-type considerations suggest that these costs may diminish, perhaps sharply,
after the introduction of the Euro. Moreover, the risk of beggar-thy-neighbour
policies implies that, in any event, EMU may provide a better framework for dealing
with asymmetricshocks than independent monetary policies. The EMS upheavals of
1992-3, far from undermining the case for EMU as a widely supposed, simply
highlight the shortcomings of interdependent nations attemting to make monetary
policy for narrow, national ends without taking into account the impact on their
neighbours (Baimbridge, Burkitt and Whyman, 2000:39-40).
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Hüseyin ÖZDEŞER
IV. POSSIBLE IMPACTS OF EMU ON TRNC ECONOMY IN RELATION
WITH POSSIBLE EU MEMBERSHIP OF TRNC.
4.1. Possible Impacts of EMU on TRNC Investment.
The biggest obstacle for investment possibilities in TRNC economy is high interest
rates for credits. The average nominal interest rate for credits is about %130-160 a
year. This unacceptable high interest rates for investment credits more than an
obstacle is causing the investment opportunities to be disappeared in TRNC
economy. Many firms in TRNC because of very high interest rates for credits are
being closed because the firms can’t be able to pay in return not only the main part
of their credits; but the interest rate they are allowed to pay for their debts. This is
directly creating huge macroeconomic problems for TRNC economy. As long as the
required level of investment can’t be held in an economy, then the economy can’t
reach to its macroeconomic targets, which are; growth rate of GDP; a rise in per
capita income, stability of prices; and achieving the full employment level.
If we realize that, TRNC is a developing country; then we can understand more
clearly the importance of investment opportunities for TRNC economy.
When “Euro” will start to be used as a single currency in EU; then all the bank of
EU countries will perform their functions with EURO; which will create a perfect
competition among the banks; and the perfect competition among the banks will
cause the occurrence of an impression on the banks to lower the interest rates of
credits. The lower rate of interest rates will directly lower the cost of the production
and GDP will tend to rise. Obviously a rise in GDP will increase the per-capita
income and the economy could achieve the full employment target.
Regarding all these positive changes in the economy due to a fall in the cost of
investment will lower the price of the goods and services sold in the economy. In
general the price levels of the economy will be directed and controlled with a stable
price structure and at the same time; the possibility of keeping the general level of
prices at low levels of prices at low levels will be more efficient.
Its something sure that; TRNC in the possibility of being a member of EU and EMU
will gain all the positive impacts on its investment and economy as mentioned
above. This opportunity will create a great chance for TRNC to shift itself out from
its critical economic structure.
It is not realistic to expect positive impacts on the TRNC’s economy due to the
introduction of the Euro in the short run. The reason for this is that the high real
interest rates are not the only negative factors that undermine investment. Attracting
the foreign investors to TRNC is a long-term target. Even if the TRNC were to join
the EU, it would still have to market itself effectively. Accordingly, the TRNC
administration should paint a promising picture regarding the future prospects of the
economic and political stability that the country lacks. A membership to the EMU
may lower the real interest rates; but there still is a need for a political stability.
Political stability is a kind of guarantee of the economic stability. Especially in
TRNC the politicians should struggle to gain the trust of the public.
It is also very important to mention here the migration history of TRNC in the 60’s.
During this decade, as a result of the policy of the Greek Administration, a lot of
105
Turkish Cypriots have left the island to settle primarily in England, and also in other
countries.
Unfortunately, the Turkish Cypriot policy makers failed to facilitate the return of
their citizens, and this deprived the TRNC from the future investments that could
have been undertaken by these people.
A possible solution in the island and parallel EU membership of the TRNC will play
a very important role for the establishment of political and economic stability, which
will create a new chance for those Turkish Cypriots to return.
Beside the positive impacts of EU and EMU membership, also the negative impacts
must be mentioned. All the enterprises or the business organizations in TRNC are
classified as small or middle size. It is for sure that most of the firms in the TRNC
will be faced with negative shocks, and even bankruptcy, when they face the huge,
efficient, and highly competitive EU companies. Because of this reality, the
government in TRNC, with the coordination of the EU, must undertake some of the
important reforms for protecting the business environment in TRNC until they
become competitive.
As a result, in the short-run it is not possible to expect the positive impacts of EU
and EMU membership for TRNC; but if TRNC can move parallel in realizing the
required reforms with EU membership in politics or economics, than, TRNC will
have a lot to gain from this course of action.
4.2. Analysis of Benefits and Costs of EMU on TRNC Economy.
The benefits that TRNC will gain parallel with the membership of EMU can be
distinguished in three major categories. These are microeconomic efficiency,
macroeconomic stability and external dimensions.
Microeconomic efficiency means the following:
a) Transaction cost saving
b) Reduction of exchange rate volatility and uncertainty
c) Dynamic efficiency gain
The establishment of a monetary union with a single currency immediately
eliminates foreign exchange transactions costs between member states. Thus, there
is a strong efficiency gain. There are two contributions to the efficiency gain; one is
the “visible savings” which households and firms achieve by not being charged with
foreign exchange commissions. The second one is “invisible savings” obtained
when the trouble of recalculation or control and evaluation or debts occurred. Thus
the accounts receivable in various currencies is eliminated.
The volume of these savings depends on the extent of payments among the union
countries. It means that the more intense the trade is among the union, the bigger is
the potential for efficiency gain (Nielsen, Heinrich, Hansen : 132). Moreover, the
establishment of a monetary union removes exchange rate uncertainty between the
member countries.
Exchange rate uncertainty causes friction in the free movement of goods; and
resources among countries. Thus, the member countries achieve further efficiency
106
Hüseyin ÖZDEŞER
gain. In addition, upon the elimination of interest rate uncertainty among member
countries, complete equalization results in more efficient capital allocation. In the
evaluation of the gains from reduced exchange rate variability two types of
modification are considered.
Firstly, the internal exchange rate volatility among member countries is eliminated.
But, far exchange rate uncertainty still remains. Secondly, although, nominal
exchange rates uncertainty is eliminated within monetary union, there are still
fluctuations in. Therefore, there is an uncertainty in regards of real exchange rates
within the monetary union. However, stabilization of nominal exchange rates
usually implies reduction of real exchange rate uncertainty.
Secondly, one category of the benefits of the EMU is macroeconomic stability,
which means price stability. It is agreed that the European Central Bank determines
monetary policy in EMU (European Economy: 132). The most important aim of the
Euro fed is price stability because price stability brings economic benefits. Euro fed
is responsible for the aggregate monetary policy or EMU should follow the
appropriate anti-inflationary policy. Besides, strict monetary policy would also
reduce the costs of deflation. However, in order to achieve credible monetary policy,
to maintain price stability, community needs a number of instruments. One of them
is its constitution and the budget policy which member states follows. Therefore, the
achievement of the policy is partly on the behaviour of the Central Bank. Two
constitutional features of a Central Bank are important, one is statutory duty to
assure price stability and political independence (European Economy, 1990, pg. 15).
The emphasis on price stability will give EU members “Central Bank a clear
direction for its policy, later it’s believed that independence is a necessary for price
stability, because unanticipated inflation has the potential to stimulate, if even
temporarily, economic activity and reduce the real value of public debt. (European
Economy: 7).
The biggest costs that the member states of EMU will pay can be classified in two
categories.
a) Loosing the seignior age income; which is gained by printing the currency.
b) Not to be able to use anymore the devaluation or revaluation policy for balance
of trade.
Two costs as mentioned above is not validity for TRNC, because TRNC doesn’t
already print its own currency for its economic activities. So as it’s not printing its
own currency; then it won’t have any cost like loosing seignior age income after the
full membership of EMU. Again; as TRNC doesn’t have its own printed currency;
then it’s not also possible to apply any devaluation or revaluation in its economy, at
the moment.
As TRNC doesn’t have its own printed currencies it has the following
disadvantages.
a) It’s not possible for TRNC to use its monetary tools in economy which are
essential for building an efficient and stable economic structure.
b) TRNC can’t have a real struggle against inflation; it can not be possible for
TRNC to have a real determination on its wage policy, full employment policy,
foreign trade policy and all other macroeconomic policies which are inevitable not
107
only for TRNC economy but also for all economies for establishing the growth and
stability.
It seems at the moment TRNC is having a bit disadvantage as it doesn’t have its own
printed currency; but still we can surely say that; as TRNC won’t have the two main
costs by the membership of EMU; it has more advantages in comparison with many
other potential member states who are candidate but not still full members of EMU.
4.3. The Possible Impacts of “EURO” on the Banking System of TRNC.
In a country it’s not possible to take into consideration separately the banking and
economy. Banks and economy is always affecting each other. As the developments
in the economy effect banking; then developments in the banking will affect
economy. This is also a real fact in TRNC. Before we work on the possible impacts
of Euro on TRNC banking system; it’s more beneficial to have a look at the current
situation for the “Bank Sector” in TRNC.
There is a Central Bank, which is not independent. As long as a central bank is not
independent, then it can’t implement monetary policies to influence banking and
economy of the country.
a) There is a huge State Budget Deficit.
b) The medium of exchange is Turkish Lira. So; there is no local currency.
c) There is no efficient monetary policy application and because of this there is no
price stability. And without the price stability there is no any chance for its
economy to establish its macroeconomic policies efficiently.
Lets now analyze what will be the possible impacts of EURO on banking system of
TRNC
a) “Euro” will be accepted as a medium of exchange, which will be a stable
currency.
b) There will be no initial cost of accepting a local currency.
c) The banking legislations will have to be synchronized with European Union
legislations.
d) With a stable currency the interest rates bankruptcies will go down hence less
debt for the banks. In other words there will be lower losses for the banks.
e) Businesses will be doing better with low and stable interest rates and with a
healthy small business sector.
f) The acceptance of “Euro” as the currency will exclude the need of “inflation
accounting”.
g) We very deeply need a stable currency and “Euro” is the answer. The banks will
also benefit from this.
h) We expect an increase in Foreign Trade with EU members. As it’s known
foreign trade is facilitated and financed by banks; then the business activities for
banks will rise.
i) With the increase of trade, there will be an increase of demand for “Euro” funds.
j) The Central Bank will be independent and will work with European Central
Bank for the synchronized monetary tools.
k) There will be a strict control on the commercial banks. Controls will make sure
banks are fundamentally financially sound.
l) With a stable currency there will be an increased economic activity and most of
the economic activity will be financed by the banks, hence increased business for
the banks as well.
108
Hüseyin ÖZDEŞER
m) With low interest rates some banks may not stay profitable anymore. This may
push them to join and merge with other banks.
n) With mergers of the banks some people may loose their jobs. However this will
be offset with opportunities in other sectors.
4.4. Possible Impacts of EMU on Foreign Trade of TRNC
The general trend in world trade is towards liberalization. Although there are certain
countries which supports and apply protectionist policies in trade but general trend is
more liberal trade. Starting with the GATT (General Agreement on Tariffs and
Trade) and going on today as WTO (World Trade Organization) large steps had
been taken on the way to abolish many obstacles to trade. Until today 135 countries
signed the GATT agreement (who later on became the member of WTO). This
general agreement suggests nearly %80 reduction in all types custom duties by the
year of 2002 and furthermore lowering one third of any other protectionist tools or
completely abolishing some of them.
Both EU as union and each member states as individually are the members of WTO
and they declared as well to decrease the level of custom duties as well as to lower
other protectionist policies (quotas, subsidies, export credits etc.). All these actions
are for the more liberal trade. Economic theory suggests that more free the trade
higher the general welfare of the societies. According to the studies going on
liberalized trade will have both dynamic and static effects on involved parties.
The whole world is somehow involved in this liberalization movement either
through bilateral agreements or through WTO agreements and grasping the benefits
of it. But on the other side of the coin we have TRNC economy, which is also trying
to liberalize its trade but not being subject to any agreement because of nonrecognition. Therefore without any recognition or becoming a member of union,
TRNC’s liberalization movements will be unilateral and will not have the full effect
of welfare increase. In that sense EU membership seems to be the best alternative
for TRNC economy. Both from the aspect of welfare increase through trade
liberalization and as a result of the advantages that membership will provide to the
whole society. When the foreign trade of TRNC is analyzed it can be seen that share
of imports instead of exports took a large share, which means that large trade
deficits exist. Share of imports reaches to nearly half of the GNP figures. There are
certain reasons behind the high share of imports and for the low share of exports. So
it is possible to consider the TRNC’s foreign trade from two aspects: One from
export side, the other way is from import side.
TRNC’s export patterns of commodities are mainly agricultural origin, especially
citrus, followed by potatoes, carob and some by products of these. Beside agricultural
origin, goods textile products, coke and some alcoholic drinks exports can be listed.
When the export markets of TRNC are considered two major market comes out:
Turkey and EU markets. Especially United Kingdom is the major export market
within the EU. Then comes the Germany and Holland. But TRNC exports do not have
a stable structure; figures may show high variations from one year to another.
There are some reasons for the high variations of trade figures and for the
dominancy of imports which causing large trade deficits. One of the major problems
faced by TRNC exporters is the high cost of production. That is due to inefficient
and backward technologies. Because of insufficient natural resources and raw
109
materials which has to be imported and makes production very expensive at North
Cyprus. Relatively high transportation costs; finally the disadvantages of being nonrecognized. But after the court decision of European Union Justice Court’s (ABAD)
in 1995, exports to European market had fallen down drastically. Another
disadvantage of TRNC exporters is that, they are selling mostly agricultural goods to
EU, which is a highly protective market for agricultural products. EU has high
standards and very low production costs because of high technologies used in the
production and because of subsidies paid to the European farmers. Therefore beside
non-recognition low quality standards and the high unit production costs of TRNC
products makes our exports uncompetitive in EU markets.
When we consider the import side of the TRNC’s foreign trade, commodity pattern
looks more diversified than exports. TRNC imports are mainly consumption goods,
followed by raw materials and investment goods with a very low share. Machineries
and mechanical appliances, food items, manufactured and vehicles are the major
import commodities. When the destination of imports considered again the high
share of Turkey and EU countries can be noticed. Again there are certain reasons
behind this high share which are both political and economical constraints.
One of the main reason for this tendency of Turkish origin and EU origin imports is
that TRNC import duties are consisting of three different categories : The first which
is the lowest valued consider Turkey the most favoured country status, the second
category is for the goods origin from EU member countries and have higher rates for
some goods and finally the highest rates category for all other countries outside of
the two above categories. This categorization makes Turkish origin imports together
with lower transportation costs more advantageous.
Beside custom duties differences, there is a dependency on imports for certain goods
that are vital both for daily consumption and production. Diseconomies of scale in
production size of the domestic market forces many producers to import goods
instead of producing domestically. Beyond that, technologies used in the production
are out of age or inefficient and renovation needs too much investment which does
not seem profitable at the moment. But together with the EU membership, producers
may find reasonable opportunities for their technologies as well as cheaper raw
material supplies for further production.
CONCLUSION
The introduction of the EURO and establishment of EMU will be a very big
experiment not only for the member countries of EMU (European Monetary Union)
but also for all the countries which are in trade relation with Euro-zone
The trade relation of TRNC is very limited with the Euro-zone countries because of
the embargo decision of justice of court in EU. But it’s for sure that the Cyprus
problem can not continue forever. After a solution in the island there is no any doubt
that the island as a whole will become the part of the European Union. TRNC
doesn’t have its own currency then there will not be a big cost for TRNC to start
using the Euro for all of its economic activities. TRNC will share the huge benefits
for its economy with the use of EURO. Although it’s a big disadvantage that TRNC
doesn’t have its own currency for the moment, but it will be a big advantage to
replace Euro in its economic activities and will not have any cost by the use of
EURO just like other candidate countries to European Monetary Union.
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Hüseyin ÖZDEŞER
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Doğuş Üniversitesi Dergisi, 2002, (6), 111-123
IMPACTS OF CYPRUS’ EUROPEAN UNION INTEGRATION
ON TURKISH CYPRIOT COOPERATIVES WITH EMPHASIS
ON THE FINANCIAL SECTOR OF COOPERATIVES
Okan ŞAFAKLI
Near East University
ABSTRACT: This paper is about Cooperative enterprises in the European Union
(EU) and how they fulfill the needs and aspiration of their members and
stakeholders. It considers the contribution that they make to European economy and
society. Additionally, a detailed discussion is provided for the impacts of a probable
Cyprus’ integration to the EU on the Turkish Cypriot co-operative movement. In
this study, the following sections will take place:
-Introductory part related to concept and importance of cooperatives
-History of cooperatives in the European Union
-Principles of cooperatives
-Development of cooperatives in the European Union
-Impacts of Cyprus-EU integration on Turkish Cypriot cooperatives
-Conclusion
Keywords: Cyprus, EU, North Cyprus, Cooperative, Impact.
ÖZET : Bu çalõşmanõn temel amacõ Kõbrõs’õn olasõ Avrupa Birliği (AB) üyeliği
karşõsõnda Kuzey Kõbrõs kooperatifçilik sektörünün nasõl etkileneceğini ortaya
koymak ve bu sektörün gelişmesi için önerilerde bulunmaktõr. Çalõşmada aşağõdaki
kõsõmlara yer verilecektir.
-Kooperatifçilik kavramõ ve önemi ile ilgili giriş kõsmõ
-AB’de kooperatifçiliğin tarihi
-Kooperatifçilik ilkeleri
-AB’de kooperatifçiliğin gelişimi
-Kõbrõs’õn olasõ AB üyeliğinin Türk kooperatifçilik sektörü üzerine etkileri
-Sonuç
Anahtar Kelimeler : Kõbrõs, AB, Kuzey Kõbrõs, Kooperatif, Etki.
1. Introduction
Although it is against international treaties South Cyprus’ application for
membership of the European Union (EU) in 1990 has been accepted and confirmed
that Cyprus satisfies the criteria for membership in 1993. As a result of this
application, European Council decided to convene bilateral intergovernmental
conferences in the spring of 1998 (Şafaklõ ve Özdeşer, 2002). The aim of this study
is to analyze the possible effect of North Cyprus’ integration to the EU together with
South Cyprus on the cooperatives in order to propose improvements of the
cooperative system in North Cyprus.
The framework of the study is to make the analysis on the basis of EU’s acquis
communautaire related cooperatives not on the basis of country comparisons.
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According to the author’s field of study, more emphasis has been given to the
financial sector of cooperatives in North Cyprus.
In the introductory part, concept and importance of cooperatives will be explained.
As one type of the commercial organizations (Nickels and Others, 1993: 221),
cooperatives are set up with a basic motive of cooperation (Mülayim; 1995 : 51).
Different types of commercial organizations are set up with different motives.
Primary motive behind the cooperatives is to provide a dynamic platform for
individuals to get together and as members of these organizations cooperate and
support each other and meet their needs (ILO, 1996: 56)
As well as economic benefits the cooperatives bring about many benefits in the
social, cultural and educational fields (Hirschfeld, 1973: 22). Today the
cooperatives are important part of the economy and they play important role in
purchasing, marketing and consumption areas. At the same time they create jobs.
As well as contributing to the national economy, the cooperatives contribute to
social development, social justice, social cohesion, with reducing effects on income
disparities and social gaps (Güven, 1997: 27-37). Cooperatives are driven by
cooperation and teamwork, which bring about a culture of respect and democracy
to each other. An effective cooperative movement can only be achieved by
adopting democratic principles. In this respect the cooperatives contribute to the
quality of democracy in the country (Yavuz, 1995: 28-30).
Cooperatives are an important part of the European economy and society such that
they have demonstrated a capacity for providing an economically competitive and
sustainable solution for a fusion of the information society and socio-economic
development. They are enterprises and they face problems similar to those of the
traditionally capitalized firms – globalization, concentration, organizational and
technological changes, and the changing needs of clients (members). In spite of
these problems, Cooperatives in nearly every country around the world have been
instrumental and successful in their work for the benefit of the people. They have
done so under all kinds of governments, within every kind of economy, and among
different gender, race, religion, politics and culture. There are few limits to what
people can accomplish when they work together for their mutual benefit. The past
accomplishments of the Cooperative movement demonstrate that simple truth and
the present strength of Cooperatives around the world further affirms it.
The importance of Cooperatives within the EU is evident and hence a probable
integration of Cyprus to the EU will have an inevitable impact on the Turkish
Cypriot Cooperatives. A major part of this study has been dedicated on this issue
and a detailed analysis of the outcome of such an accession in economic and social
terms together with some recommendations have been carefully made.
2. History of Cooperatives in the European Union
People formed the first, continuous, organized, Cooperative traditions in Europe
during the tumultuous 1840s. In the industrial cities of Europe people were
confronting social dislocation in slums that created living conditions unlike any
experience by earlier generations. Workers were taken away from their work, family
life was disrupted, and the basic requirements of life - food, housing, savings, and
employment - were continuously at risk. At first, only a few people could see how
Impacts Of Cyprus’ European Union Integration On Turkish Cypriot Cooperatives
113
Cooperatives could improve such bad conditions; before the century ended,
hundreds of thousands had grasped the possibilities.
In 1844, a group of workers in Rochdale in Great Britain organized a consumer
Cooperative to provide "pure food" at "honest rates." Their effort proved to be
remarkably successful and led quickly to the creation of hundreds of Cooperatives in
Great Britain; they in turn joined together to form extensive Cooperative
wholesaling systems in both England and Scotland. In fact, the wholesalers became
among the largest and the most innovative businesses in the United Kingdom as the
century came to an end. They also sparked the formation of similar movements and
organizations among consumers in most other industrial countries in Europe
(Memiş, 1985: 14).
Also in the 1840s, French laborers organized some of the first successful worker
production Cooperatives. Their approach spread quickly throughout the
industrialized countries, carried by the trades union and the political movements of
the working classes. By 1900, it had become well known in many countries of
Europe; it was at once a successful participant in the Industrial Revolution and a
severe critic of its most dehumanizing tendencies (Mülayim, 1999 : 36-37).
In the 1850s, Cooperative banking was started, especially in the German states. The
earliest successful promoter if this form of cooperation was Hermann SchultzeDelitzsch, who worked among artisans and merchants. Friedrich Raiffeisen, who
encouraged Cooperative banking among rural people, soon joined him. From
Germany, the banking movement spread to Italy and France. Moreover, as the
century progressed, consumer and some agricultural cooperatives developed whollyowner banking institutions to meet their own needs as well as those of their
members. Many of them grew quickly, accumulating the savings of tens of
thousands of people and financing large economic activities. By the end of the
century, the cooperative banking movement in its different forms was well
established and flourishing. Meanwhile, many young people in rural Europe moved
to cities searching for work and for those who remained on the farms there was
much to learn for their survival. They had to study new methods of agricultural
production; they had to understand how to manage money; they had to purchase
reliable supplies at the lowest prices; and they had to find out how to market their
products effectively. People on the rural parts of Europe found that they could
achieve all these objectives most effectively through cooperative organizations. In
1880s, farming people, especially in Denmark, Germany and Great Britain, started
to form agricultural production cooperatives. This type of cooperative organizations
spread later to many countries and to all kinds of commodities (Mülayim, 1999 : 3841).
As the century came to an end, another form of cooperative action became evident
in Europe. It consisted of people joining together to provide themselves with
different kinds of services, such as insurance, housing, and childcare. Because of
deep involvement with economic and social changes, the cooperative movement
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possessed a remarkable vitality at the end of the 19th century and it even flourished
more around Europe during the 20th century.
3. Principles of Cooperatives
Today, cooperatives can be found in all continents and in all sectors of the economy.
The cooperative movement is based on the values of self-help, self-responsibility,
democracy, equality, equity and solidarity and these values are put into practice by
the well-known seven principles (Koç, 2001: 3-7) :
1. Voluntary and Open Membership
Cooperatives are voluntary organizations, open to all persons able to use their
services and willing to accept the responsibilities of membership, without
gender, social, racial, political, or religious discrimination.
2. Democratic Member Control
Cooperatives re democratic organizations controlled by their members, who
actively participate in setting their policies and making decisions. Men and
women selected as elected representatives are accountable to the membership. In
primary cooperatives members have equal voting rights (one member, one vote),
and cooperatives at other levels are also organized in a democratic manner.
3. Member Economic Participation
Members contribute equitably tom and democratically control, the capital of
their cooperative. At least part of that capital is usually the common property of
the cooperative. Members usually receive limited compensation, if any, on
capital subscribed as a condition of membership. Members allocate surpluses for
any or all of the following purposes : developing their cooperative, possibly by
setting up reserves, part of which at least would be indivisible; benefiting
members in proportion to their transactions with the cooperative; and supporting
other activities approved by the membership.
4. Autonomy and Independence
Cooperatives are autonomous, self-help organizations controlled by their
members. If they enter into agreement with other organizations, including
governments, or raise capital from external sources, they do so on terms that
ensure democratic control by their members and maintain their cooperative
autonomy.
5. Educations, Training and Information
Cooperatives provide education and training for their members, elected
representatives, manager, and employees so that they can contribute effectively
to the development of their cooperatives. They inform the general public –
particularly young people and option leaders – about the nature and benefits of
cooperation.
6. Cooperation Among cooperatives
Cooperatives serve their members most effectively and strengthen the
cooperative movement by working together through local, national, regional, and
international structures.
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7. Concerns for Community
Cooperatives work for the sustainable development of their communities through
policies approved by their members.
4. Development of Cooperatives in the European Union
Cooperatives are an important part of the European economy; the 132,000
cooperative enterprises in the European Union (EU) employ 2.3 million people
(about 2.3% of full-time equivalent salaried employment). The performance of
cooperatives has a major impact on the lives of their 83.5 million members and on
the citizens of Europe (Commission of EC, Consultation Paper, 2001: 4).
Cooperatives in the applicant countries account for an additional of 23 million
members. They contribute to the welfare of citizens, wealth to nations and promote
entrepreneurship and participation. In 1996, 35% of cooperatives were in the
primary sector (agriculture, fisheries, forestry), 20% in the secondary sector (crafts
and workers) and 45% in the tertiary sector (banking, insurance and credit unions)
(Commission of EC, Consultation Paper, 2001 : Annex 2).
More established cooperatives are represented in many sectors of industry. They
account for a substantial part of these sectors and are of great importance to the
economy of the most EU member states. They contribute to the effective
organization of markets in many sectors. In several member states cooperatives have
demonstrated a capacity for providing an economically competitive and sustainable
solution for a fusion of the information society and socio-economic development.
The market share of cooperatives in economic activity has grown throughout the
20th century in the EU member states. In most of the member states cooperatives
hold substantial market shares in important industries, especially in primary and
tertiary sectors. For example, in 1996 the market share of cooperatives in agriculture
was 83% in Netherlands, 79% in Finland and 55% in Italy. In forestry, cooperatives
held a 60% market share in Sweden and 31% in Finland. In the tertiary sector,
cooperatives accounted for over 50% on the market in banking in France, 35% in
Finland, 31% in Austria and 21% in Germany. In retail, consumer cooperatives held
a market share of 35.5% in Finland and 20% in Sweden (Commission of EC,
Consultation Paper, 2001 : Annex 2).
In the EU, the current trend in many of the sectors where cooperatives are active is
in concentration and competition; this is particularly the case in the retailing, food
processing, banking and insurance sectors. In recent years, cooperatives have been
concentrating their activities by mergers within the member states. Mergers and
strategic alliances have also been made between cooperatives in different member
states and even with candidate and other non-member states.
At the other end of the cooperative life-cycle, new small cooperative enterprises are
emerging in most member states, These enterprises have been established
particularly in the sectors of social and health care, local and regional development,
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education and housing as well as in services to businesses and knowledge-based
services.
4.1 Cooperative legislation in the EU
Cooperative legislation in the EU varies from one member state to another
(Commission of EC, Consultation Paper, 2001 : Annex 1). Cooperatives are
explicitly recognized in the EU as a type of “companies of firms” under the Treaty
of Rome (Article 48). Within all member states cooperatives have a legal framework
within which they can operate (although there is not always a specific cooperative
law) and which protects the interests of members and third parties. In order to enable
cooperatives to reach financial markets and to loosen restrictions and requirements
for the formation of cooperatives, significant innovations (reforms) have been
introduced to the rules and laws governing cooperatives in the member states.
Although some of the recent reforms can be considered to run contrary to the
cooperative principles, they have been considered desirable in order to take into
account the needs of growing cooperatives in the modern economy. Such reforms
have included (Commission of EC, Consultation Paper, 2001: 8);
-Reducing the minimum number of persons required to create a cooperative;
-The possibility of giving some members more than one vote;
-Broadening the limits on activities and on trading with non-members;
-The possibility if issuing specific bonds, representing risk or dept capital;
-Allowing third parties to participate in share capital;
-Permitting the transformation of cooperatives into joint-stock companies.
4.2 The European Cooperative Statute
The European Cooperative Statute has been the latest development concerning the
co-operative activities in the EU. The need for the Statute has arisen from the recent
years significant increase in cross-border cooperative activity including mergers and
groupings of major entities. In the EU there are cooperatives with different types of
international activity: Export represents the basic element for the cross-border
activity of cooperatives in the EU and some of them have set up selling structure in
relevant foreign markets. At the same time, some cooperatives carry out a
production activity beyond its borders in another member state.
On the other hand, cross-border cooperation and activity between cooperatives is
currently hampered in the EU by legal and administrative difficulties, which are not
acceptable in a market without frontiers. The Statute consists of a Regulation
(directly applicable in member states) which lays down the rules for the creation of a
new form of cooperative, European Cooperative Society (SCE), and provides
cooperatives with adequate legal instruments to facilitate their cross-border and
trans-national activities, in other words, it will provide the necessary basis for the
internationalization of the European cooperatives. It also consists of a Directive (to
be implemented in national law in all member states) concerning worker
involvement in the major decisions of the enterprise through information,
consultation and participation on the board. The Statute is expected to be adopted
this year; it will be directly applicable in all member states, and candidate countries
will have to adopt as a condition of membership.
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5. Impacts of Cyprus’ EU Integration on Turkish Cypriot Cooperatives
Before making an analysis of the impacts of the EU integration, it is thought to be
useful to briefly discuss the current situation of cooperatives in the northern part of
the island.
According to the recent research (Koop.İşleri Dairesi, 2001 : 48) there are 86 credit,
88 development, 24 savings (banks) and 9 consumer cooperative societies, totaling
to 207 (Table 1). The total employment in the cooperative enterprises is 1243.
Regardless of their type all cooperatives function under the Cooperative Societies
Law (Chapter 114). Cooperative Credit Societies and Development Societies are
mostly organized in the rural parts of the country, while the cooperative savings
societies (banks) are mainly in the urban areas. C.T. Cooperative Central Bank
founded by all cooperatives is the upper financial body and acts as the main deposittaker and lender for all.
Table 1. Active Cooperatives in North Cyprus (1997-2001)
Type
1.Credit
2.Consumption
3.Savings
4.Development
Total
1997
86
12
23
93
214
1998
86
12
25
91
214
1999
86
10
24
91
211
2000
86
9
24
88
207
2001*
86
8
24
88
206
* Until June
Source : DPÖ (2001), 2002 Geçiş Yõlõ Programõ, KKTC Başbakanlõk Devlet
Planlama Örgütü, Lefkoşa-KKTC. Pp 418.
Cooperatives in Northern Cyprus, like anywhere else, play an important role by
focusing on meeting the needs of their members; hence they are considered to
possess both economic and social values within the Turkish Cypriot community
5.1.
The Impact of The EU Integration On the Financial Sector of
Cooperatives
The impacts of the EU accession on cooperatives differ on a sectoral basis, with the
tertiary sector (cooperative banking and credit and savings societies) being the most
affected. It is thought that cooperative credit and savings societies are not aligned
with the acquis (laws, directives and legislation of the EU). The cooperative credit
and savings societies fulfill an important role in the financial intermediation for their
members; the cooperative sector accounts for around %32 of all bank deposit1
(including those of C.T. Cooperative Central Bank-CTCCB and Limassol Turkish
Cooperative Bank – LTCB). The credit and savings societies alone (excluding
CTCCB and LTCB) hold US $ 43.1 million (Solyalõ, 2002: 7) as deposits as of
31.12.2001. In spite of this striking financial table, cooperative credit and savings
societies are currently not considered as banks (with the exception of the C.T.C.C.B
1
Compiled from data obtained from TRNC Central Bank and Cooperative Affairs
Department, 31 December 2001.
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and L.T.C.B). This shows that the cooperative credit and savings societies remain a
separate segment of the financial sector, in parallel to the banking sector, which
raises obvious questions on their supervision and competition. Although operating
alongside the commercial banks, this sector is not regulated under the Banking Law
and remains subject to less stringent prudential standards, outside the supervisory
purview of the Central Bank. Moreover, the levels of non-performing loans (mainly
agricultural loans, 5.7 trillion TL) (Solyalõ, 2002: 9) is quite high in the sector, and
in recent years bad-management and irregularities have pushed some societies out of
the business, leaving behind several hundreds of deposit makers as victims. It should
be pointed out that the sector used to enjoy much higher deposits till the end of the
first half of 2000 totaling up to US$ 93.7 million (Solyalõ, 2002: 7) when compared
to the current amount of US$ 43.1 million. The fall in numbers is mainly due to the
bankruptcies of the Peyak and Vipkop savings cooperatives, which demonstrated
how vulnerable was the sector. As a result of all these negative financial attributes of
the cooperative credit and savings societies, the sector constitutes a weak segment in
the financial system (as seen in the Peyak and Vipkop cases) and currently
represents a source of risk in the point of view of the EU acquis.
In the light of the current situation of the financial sector of the cooperatives, there is
a particular need for the restructuring of the cooperative credit and saving societies
sector in accordance with the acquis. Such a restructuring scheme is currently
underway and is instrumental to harmonize the cooperative credit and savings
society sector with the acquis, although initial objective of the planned scheme
might have not been so. Several amendments have been proposed for the current
Cooperative Societies Law and the new Cooperative Savings Guarantee Fund Law
enforcing a Deposit Guarantee Scheme (similar to that of the commercial banks) for
deposits held by the cooperative credit and savings societies has been passed for the
timely implementation of the restructuring of the sector. The Amendment for the
current Cooperative Societies Law is expected to pass later this year. On the other
hand, it is argued that the amendment and the possible following Committee
proposals may hamper the way cooperatives have been functioning over several
decades. It makes several impositions, especially by restricting services only to
members and the amount of deposits that can be accepted to the total capital equity
of the society (proposed deposit-to-capital equity ratio is 1). The fact that actual ratio
is around 8% (0.08) (Solyalõ, 2002: 9) - and it is even as low as %4 with the
particular group of cooperative saving banks accounting for the 51% of the deposits
made with the cooperative societies - will in return result in an inevitable dissolution
of several cooperative societies as the amount of deposit that can legally be held in
these societies will be even below their non-performing loans.
Since a possible exclusion of the cooperative credit and savings societies from EC
Banking Directives seems out of question for EU integration, the impacts of EU
Integration on these societies will create a dilemma such that a certain restructuring
scheme is needed but there is always a possibility that this scheme will push back by
bringing the cooperative credit and savings society sector to an end due to the
reasons mentioned above. On the other hand, the restructuring scheme can be
instrumental for a few larger societies making them transform to cooperative banks
and become full credit banking institutions just like commercial banks with crossborder operation authorities. This is actually made possible by a recent amendment
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to the Banking Law, which permits the inclusion of the word "Bank" in cooperative
society's name if it opts to be regulated by the Banking Law (it is to be noted that the
requirements put forward by the Banking Law, especially on the capital sufficiency
and disposable cash reserves, can be well beyond a cooperative society's financial
capabilities.)
Consequently, in the light of the planned restructuring for the cooperative credit and
savings societies, there seems to be two alternatives: larger and stronger
cooperatives may opt to transform to cooperative banking institutions and act just
like commercial banks, and the smaller ones may merge to form stronger enterprises
and avoid extinction. However, recently it is argued that the planned restructuring's
financial burden on most cooperative credit and saving societies and its probable
undesirable outcomes might overweigh the anticipated returns and could in fact
hamper the whole cooperative movement in the country. Therefore, some work is
currently underway to simply make some enhancements in the restructuring scheme
itself. Since the exact content of the enhancements is still unknown, it is too early to
conclude whether the proposed enhancements will deviate the cooperative societies'
alignment away from the aquis or not.
The financial sector needs to be supervised in a consistent manner and the fact that
the cooperative credit and savings societies have constituted large but a weak
segment of the financial sector will necessitate special attention. The Cooperative
Affairs Department as the supervisory agency for the cooperative sector is
responsible for the supervision. Although the Cooperative Societies Law dictates a
proper inspection of each cooperative once a year, this has never been
accomplished. In alignment with the aquis, supervision of the credit and savings
societies has to be sufficiently coordinated and carried out in a uniform way; in
other words, the supervision on this sector must be improved. The main impact for
the need of improved supervision on cooperative societies will be on the
Cooperative Affairs Department. The Department will need to improve its
administrative capacity by receiving additional resources and training facilities. As
the administrative and the supervisory body for all cooperatives, the Department
will play an important role for accomplishing the task of harmonizing the sector
with the EU aquis (Kooperatifçilik Özel İhtisas..Komisyonu , 1999).
As mentioned earlier, the harmonization process will bring a restructuring process of
the sector along with it. The issue underlying this restructuring process is that the
public authorities together with the lawmakers and the politicians may need
assistance in developing appropriate regulations for cooperatives. In most cases,
some of these authorities do not possess the concepts of the cooperative identity and
hence the resulting regulations are likely not to serve the purposes of the
cooperatives (as observed in some parts of the amended Cooperative Societies Law,
especially in the part which unrealistically restricting the deposit-to-capital equity
ratio to 1). So the main impact here will be on the need for educating the public
authorities on cooperative issues.
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5.2 Possible Effects of Single Market
One of the most striking impacts of the EU integration on the cooperatives will be
the opportunity for access to the EU market as well as the threats associated with it
in the reverse direction. Although EU accession is mostly regarded as an opportunity
for most sectors of the business, it also tends to be a threat for subsidized and
protected sectors. Just like any other commercial enterprise, cooperative enterprises
will need to adjust to the competitive context of the Single Market, that is,
cooperatives should be able to fully cope with the competitive pressures and market
forces within the Union. To survive in a competitive market, cooperatives in
Northern Cyprus should first modernize their management through various support
programs2 (Roelants, 2002: 8), enhance the quality of their financial structures (as
described earlier in financial restructuring of the sector) and develop or get
organized under an intermediary or an upper structure. The most effective means of
doing so is to cooperate with similar enterprises that exist and thrive within the
Single Market. It should be noted here that to compete is the ordinary behavior of
normal businesses on the market; to cooperate is the extraordinary behavior of an
excellent enterprise.
After striving under economic embargos for many years, an EU accession may open
"doors” for cooperatives in North Cyprus to sell their products, but being organized
in a confined environment since their start-up, it will not be easy to go through those
open "doors” towards the huge and lucrative EU market unless careful preparation in
areas of management, finance and intermediary (or upper) structure is done
beforehand. The latter is what the sector lacks today. Its importance is enormous in
its capacity that it will not only serve as the coordination agency within the sector
but will also be instrumental in directing the export business to the EU market. The
production and agricultural cooperative sector can even anticipate an enlargement as
a result of the probable demand created by the huge EU market. (Karpaz Tobacco
Cooperative has been unable to sell its crop this year; EU accession could easily be
an opportunity for this cooperative in selling its crops to the EU market).
Furthermore, after integration, Cyprus is said to obtain access to the EU structural
funds, which, within the framework of the European Union’s regional policy
provide very substantial financial aid for the purpose of restructuring and
modernization of several sectors. Thus, there is a high possibility that the
cooperative sector can be one of those sectors receiving EU financial aid towards its
restructuring.
5.3 Tax Considerations
The tax regime applicable to cooperatives is one of the key issues that cooperatives
have been probably hoping for enhancements. This issue has long been argued, as it
is believed that the corporate tax imposes heavy financial burdens on cooperative
2
Human resource development programs, research and management consultancy services,
accountancy and audit services, management information services, information and public
relations services, consultancy services on technology and innovation, legal and taxation
services.
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societies. However, there seems to be no problem in aligning this tax regime as it is
already in line with the acquis. EU's State Aid and Competition acquis clearly
support such tax regimes. However, several legal advantages, namely income and/or
corporate tax exemptions, no disposable cash reserves and lower required reserve
ratios place cooperatives at a competitive advantage relative to the commercial
enterprises. Although it is argued that such legal advantages are rather just support
measures and compensations for the social and public policy role played by the
cooperatives, they contradict with the State Aid and the Competition acquis. On the
other end, the minimum world standards being established by the International
Labor Organization (ILO) Recommendation on the Promotion of Cooperatives
(Roelants, 2002 : 8) clearly backs the support measures (sometimes regarded as
advantages) for cooperatives and a recent policy recommendation by the European
Commission (EC) has a mention of such measures; therefore, it is highly probable
that the acquis may be amended in line with these recommendations. At the same,
the same ILO study also mentions of taxation support measures for cooperatives,
thus there is a chance that such measures can be implemented by the EC policymakers in the near future, resulting in the achievement of the long-awaited tax
exemptions (at least in some cooperative sectors). This will have a positive impact
on the cooperatives by eliminating the heavy taxation burden on them.
5.4 Possible Reforms
The trends and structural changes in the form of reforms in the cooperatives of
Member States discussed earlier in the previous section can have impacts on Turkish
Cypriot co-operatives after the EU integration. As the national and international
competition increase, internationalization of the cooperatives is inevitable. Though
such trends and reforms for cooperatives in North Cyprus are not foreseen in the
near future, it is highly possible that there can be mergers of local cooperatives with
other cooperatives in Member States; it should not be surprising to see the merger
(or even friendly take-over) of Koop Süt with (by) a cooperative dairy, say in
Netherlands, or Koop Süt to operate a plant in Poland (a recent example is the takeover German Südmilch Cooperative by the Dutch Campina Melkunie.) The recent
European Cooperative Statute which will be directly applicable in all Member State
Laws (in North Cyprus’ Cooperative Societies Law as well, if she is to be a EU
member) will open the doors for cross-border cooperative activities.
Currently, there are 9 sectoral cooperatives in the EU. However, some of them do
not exist in North Cyprus. These are basically insurance, pharmacy and tourism
cooperatives ( Müftüoğlu ve Diğeri, 2001: 27-30). Possible membership of Cyprus
to the EU can lead to establishment of these cooperatives.
Reforms (discussed in the previous section) have been introduced into cooperative
laws in several of the member states during the last two decades mainly to enable
cooperatives to reach financial markets and to loosen restrictions and requirements
for the formation of cooperatives. When analyzed, it is seen that none of the reforms
or their derivatives exist in either the current Cooperative Societies Law or in its
revised version. Although all these reforms seem to contradict to the cooperative
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principles, they have been considered desirable by many member states for the
needs of growing cooperatives in a modern economy. A probable EU integration
will enable the regulatory authorities to fully assess these reforms and see them in
practice in the member states they have been applied. It is mostly likely that careful
implementation of these reforms with regulatory thresholds and limits will help
cooperatives to become more competitive with their new EU identity without
necessarily compromising their cooperative character.
As an overall assessment, a probable EU integration will be the rebirth and the
awakening of the cooperative sector in North Cyprus. Unlike those in the member
states, the Turkish Cypriot cooperative sector has long been declining hopelessly
with lack of training, good management, financial coherency and support measures.
It is highly anticipated that the EU integration will provide means to overcome these
deficiencies and will in return flourish the sector. A modernized and a restructured
cooperative sector will be the key in developing the economies and societies in our
country.
6. Conclusion
In this study the role and importance of cooperatives in the economic, social and
cultural life of European Union have been acknowledged. Additionally, new trends
and structural changes in the development of cooperatives in the member states have
been assessed.
As the main consideration of the study has been on the impacts of Cyprus’ EU
integration on Turkish Cypriot cooperatives, a thorough analysis has been done on
this issue. The findings can be summarized as follows:
1.) Due to the fact that the cooperative banking and credit & saving societies
sector is not aligned with the acquis and moreover it is this sector that will
be the most affected with a probable EU integration, there is an urgent need
for a careful restructuring of this sector for its harmonization with the
acquis (this is currently underway).
2.) As a result of the restructuring scheme, structural and financial changes are
expected in the cooperative sector. Mergers among smaller cooperatives
and/or transformations to larger cooperative banks are thought to be as
possibilities; on the other hand, such a restructuring scheme is believed to
carry a dilemma that it may in fact hamper the well-known traditions of
cooperative movement in the country.
3.) There will be a need for consistent supervision on the financial sector of the
co-operatives. As the administrative and the supervisory body for all
cooperatives, Co-operative Affairs Department should improve its capacity
in its own tasks by receiving additional resources and training.
4.) EU integration is thought to be an opportunity for cooperatives for better
access to the EU market. This, on the other hand, will bring the necessity
for cooperatives to face with the competition in the single market economy.
For survival in such an economy, Turkish Cypriot cooperatives should
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modernize their management, enhance their financial structure and more
importantly get organized under an intermediary or upper structure.
5.) With a EU accession, internationalization of Turkish Cypriot cooperatives
is a possibility as mergers (even take-over) with other cooperatives in other
member states can take place.
6.) Reforms that will serve the needs for growing cooperatives in a modern
economy (though contracting with the cooperative principles) is to be
implemented in the Cooperative Societies Law, as such reforms have
already been made in several of the member states’ laws.
Last but not least, recent developments in North Cyprus indicate that widening the
understanding of cooperatives among decision-makers at all levels (public
authorities, law-makers, politicians) is necessary for the well being of this important
sector in country’s financial, social and cultural life. Without a wider understanding
and recognition of this sector, there will be no hope for the evolution of the
anticipated modernized and restructured co-operatives for developing the economies
and societies in North Cyprus.
7. References
COMMISSION OF THE EUROPEAN COMMUNITIES (EC) (7 Dec.2001),
Overview of Available Data on Co-operatives, “Co-operatives in Enterprise
Europe”, Consultation Paper, Brussel, Annex 2.
COMMISSION OF THE EUROPEAN COMMUNITIES (EC) (7 Dec.2001),
Summary Table of Member States’ Laws in Respect of Co-operatives, “Cooperatives in Enterprise Europe”, Consultation Paper, Brussel, Annex 1.
COMMISSION OF THE EUROPEAN COMMUNITIES (EC) (7 Dec.2001), Cooperatives in Enterprise Europe, Consultation Paper, Brussel, pp.4, 8.
DPÖ (2001). 2002 Geçiş Yõlõ Programõ, KKTC Başbakanlõk Devlet Planlama
Örgütü, Lefkoşa-KKTC.
GÜVEN, S. (1997). Kooperatifçilik Politikasõ, Ezgi Kïtapevi Yayõnlarõ, Bursa.
HIRSCHFELD, A. (1973). Gelişen Ülkelerde Kooperatiflerin Önemi, Çeviren :
Doç.Dr. Oğuz Çataloğlu ,Ege Üniversitesi Matbaasõ, İzmir.
KKTC KOOPERATIF İŞLERI DAİRESİ (2001), Kooperatifçilik ve Kooperatiflere
Ait İstatistiki Bilgi ve Değerler, Lefkoşa, pp.48.
KOÇ, H. (2001). Kooperatifçilik Bilgileri, Nobel Yayõn Dağõtõm, İstanbul.
KOOPERATİFÇİLİK ÖZEL İHTİSAS KOMİSYONU (1999). Dördüncü Beş Yõllõk
Kalkõnma Planõ-Kooperatifçilik Raporu (2000-2004) Lefkoşa , KKTC.
ILO (1996), Creating a Favourable Climate and Conditions for Cooperative
Development in Central and Eastern Europe, Cooperative Branch-International
Labour Office Geneva, Switzerland.
NICKELS, W. G. and Others (1993). Understanding Business, Third Edition, Irwin,
USA.
124
Okan ŞAFAKLI
MEMİŞ, İ. (1985). Kooperatifçiliğin Düşünce Tarihi ve Uygulamasõ, Başarõ
Matbaacõlõk Sanayi, Ankara.
MÜFTÜOĞLU, Hilal ve AYDOS, Volkan. (2001), Türkiye’de Kooperatifçilik,
İstanbul Ticaret Odasõ Yayõnõ, İstanbul.
MÜLAYİM, Z.G. (1995), Genel ve Tarõmsal Kooperatifçilik, Birinci Basõm, Bilgi
Yayõnevi, Ankara.
MÜLAYİM, Z.G. (1999). Kooperatifçilik, Yenilenmiş Üçüncü Baskõ, Yetkin
Yayõnlarõ, Ankara.
ROELANTS, B. (2002). World-wide and European Standardization on
Cooperatives, A comparative analysis between the European Commission’s
Consultative Document (“Cooperatives in Enterprise Europe”) and the ILO
Recommendation on the Promotion of Cooperatives, pp.8.
SOLYALI, H. (2002). KKTC’de Mevcut Kooperatifçiliğin Finansal Yönden
İncelenmesi, Kooperatif İşleri Dairesi, Lefkoşa, pp.7,9.
ŞAFAKLI, Okan ve ÖZDEŞER, Hüseyin (2002), “ Stratejik Yönetim Kavramõnõn
KKTC Yönetimine Uygulanmasõ”, 10. Ulusal Yönetim Ve Organizasyon
Kongresi, 23-25 Mayõs, 2002, Akdeniz Üniversitesi, Antalya , Türkiye.
YAVUZ, O. (1995). “Gelişmekte Olan Ülkelerde Kooperatifçiliğin Toplum
Kalkõnmasõnda ve Demokratikleşmedeki Yeri”, Karõnca Kooperatif Postasõ
Şubat I995, Sayõ : 698, Türk Kooperatifçilik Kurumu, Türk Kooperatifçilik
Kurumu Yayõnõ, Ankara.
YAZARLARA BİLGİLER
Doğuş Üniversitesi Dergisi hakemli bir dergidir. Dergiye gönderilen makaleler iki
hakem tarafõndan değerlendirilir. Hakamlerden birinin olumsuz, diğerinin olumlu
görüş bildirmesi durumunda üçüncü bir hakeme başvurulur. Makalenin
yayõmlanabilmesi için en az iki hakemin olumlu görüş bildirmesi gerekir.
Doğuş Üniversitesi Dergisine gönderilecek yazõlar Türkçe veya İngilizce olabilir.
Yazõnõn uzunluğu 15 sayfayõ geçmemeli ve hangi dilde ise önce o dilde en çok 100
kelimelik bir Özet (Abstract) ve altõnda diğer dilde en çok 100 kelimelik ikinci bir
Özet ile birlikte gönderilmelidir. (İlk özet, başlõktan sonra, yazarõn adõnõn altõnda yer
almalõdõr).
Gönderilen yazõlar, başka bir yerde yayõmlanmamõş veya yayõmlanmak için
gönderilmemiş olmalõdõr. Dergimize yõlõn her anõnda makale kabul edilmektedir.
Hakem kurulundan geçen yazõlar yayõma hazõr hale gelir ve yayõmlanacak ilk sayõda
baskõya gönderilir. Yayõmlanmasõ kabul edilen yazõlarõn bütün yayõn haklarõ Doğuş
Üniversitesi Dergisi’ne aittir.
Türkçe/İngilizce özetlerin altõnda italik harflerle yazõlmõş, anahtar kelimeler /
keywords (en çok 5 kelime) bulunmalõdõr.
Yazarõn adõ, bağlõ bulunduğu kurum ve bölümü ilk sayfada, başlõğõn altõnda
belirtilmelidir.
Yazõlar aşağõda belirtilen kurallar doğrultusunda hazõrlanmalõdõr. Tablo ve şekillere
başlõk ve sõra numarasõ verilmeli, başlõklar tablolarõn üzerinde ve şekillerin altõnda
yer almalõdõr. Tablo veya şekiller dikey olarak verilmelidir. (Tam sayfa olan tablo ve
şekiller yatay olarak yerleştirilebilir). Denklemlere verilecek sõra numaralarõ
parantez içinde ve sayfanõn sağ tarafõnda olmalõdõr.
Bilgisayarda yazõm kurallarõnda aşağõda verilen noktalara titizlikle uyulmasõ
gerekmektedir:
Yazõ Tipi
Başlõk
Metin
Alõntõlar
:
:
:
:
Times New Roman
12 punto, Bold
10 punto
9 punto
Marj Ayarõ
Üst : 5 cm.
Alt : 4 cm.
Sol : 4.5 cm.
Sağ : 4.5 cm.
Yazõnõn elektronik kopyasõ Microsoft Word kelime işlemci programõnda
hazõrlanmalõ, 3.5 inch diskete tek dosya içinde kopya edilmelidir. Elektronik dosya
ile yazõnõn aynõ olmasõ gerekir.
126
Yazarlara Bilgiler
Yazõnõn basõlõ bir kopyasõ ile 3.5 inch diskete kaydedilmiş elektronik kopyasõ
(yazõnõn elektronik kopyasõ e-posta ile journal@dogus.edu.tr adresine de
gönderilebilir) aşağõdaki adrese gönderilmelidir:
Prof. Dr. A. Ferit KONAR
Doğuş Üniversitesi Dergisi Yayõn Kurulu Başkanõ
Acõbadem Zeamet Sok. No : 21
81010 - Kadõköy, İSTANBUL
Tel: 0216 327 11 04, 06 - Fax: 0216 327 96 31
e-mail: journal@dogus.edu.tr
Yayõmlanmayan yazõlar iade edilmez.
Kaynaklara göndermeler dipnotlarla değil metin içi parantez yöntemi ile
yapõlmalõdõr. Parantez içindeki sõra şöyle olmalõdõr: Yazar/yazarlarõn soyadõ, (yazarõ
olmayan kaynaklarda eseradõnõn ilk üç kelimesi) kaynağõn yõlõ, sayfa numaralarõ.
Örnekler:
… (Brook, 1965: 58-63).
… kanõtlanmõştõr (Alexander, 1976a: 254, 1976b:15-17).
… (Delmotte, et al., 2001 : 12-13).
… (Turkey: Informatics and… 1993 : 56)
Metin içinde yukarõdaki gibi gönderme yapõlan bütün kaynaklar, Kaynaklar
(References) listesinde belirtilmeli, metin içinde gönderme yapõlmayan kaynaklar bu
listede yer almamalõdõr. Kaynaklar ayrõ bir sayfada alfabetik sõrayla yazõlmalõdõr.
Kaynakça Yazõm Örnekleri
Tek Yazarlõ Makale
DEĞİRMENCİ, M. (2000) Hayallerimizi paylaşacağõmõz ortam : organizasyon.
Doğuş Üniversitesi Dergisi, sayõ 2, Temmuz, 63-75.ss.
Çok Yazarlõ Makale
BENNETT, H., GUNTER, H. & REID, S. (1996) Through a glass darkly: images of
appraisal. Journal of Teacher Development, 5 (3) October, pp.39-46.
Yazarõ Olmayan Makale
How dangerous is obesity? (1977) British Medical Journal, No 6069, 28th April,
p.1115.
Tek Yazarlõ Kitap
SEYİDOĞLU, H. (2001) Uluslararasõ iktisat : teori politika ve uygulama.
Geliştirilmiş 14. bs. İstanbul, Güzem Yayõnlarõ.
Yazarlara Bilgiler
Çok Yazarlõ Kitap
LANGHOLZ, G., FRANCIONI, J., KANDEL, A. (1989) Elements of computer
organizatioõn. New Jersey, Prentice Hall.
Yazarõ Olmayan Kitap
Turkey: informatics and economic modernization. (1993) Washington D.C., The
World Bank.
Çeviri Kitap
KANAWATY, G. (1991) İş etüdü, (Çev. Z. AKAL). Ankara, Milli Prodüktivite
Merkezi.
Kitap İçinde Bölüm
PORTER, M.A. (1993) The modification of method in researching postgraduate
education. In: Burgess, R.G. ed. The research process in educational settings:
ten case studies. London, Falmer Press.
Konferans Kitabõ
Conference on Economic Crime, 2nd. 1977. London School of Economics and
Political Science, (1980) Economic Crime in Europe L.H. LEIGH.ed. London,
MacMillan.
Yayõmlanmamõş Tez
ÖZKAN, T. (1997) Ticari Bankacõlõkta Kredi Fiyatlandõrma Teknikleri.
Yayõmlanmamõş Doktora Tezi, İstanbul Üniversitesi Sosyal Bilimler Enstitüsü
Para ve Banka Anabilim Dalõ.
Araştõrma Raporlarõ
MULLINEUX, N. (1997) The world tyre industry: a new perspective to 2005.
Research Report 348. London, Economist Intelligence Unit.
Resmi Gazete
Yedinci Beş Yõllõk Kalkõnma Planõ 1996-2000. (1999) T.C. Resmi Gazete (22354,
25 Temmuz 1995).
Ansiklopedi Maddesi
WEBSTER, F. (1996) The Information Society: Conceptions and Critique.
Encyclopedia of Library and Information Science c.58, ek 21 içinde (74-112).
Ed. Allen KENT. New York, Marcel Dekker.
Gazete Makalesi
BATY, P. (1998) Learners are born, says report. Times Higher Education
Supplement, 16th January, p.5.
Web Sitesi Alõntõlarõ
------------------------------------------------Yazarlardan yukar›da belirtilen kurallara titizlikle uymalar› beklenmektedir.
127
128
Yazarlara Bilgiler
HOLLAND, M. (1996) Harvard system [Internet] Poole, Bournemouth University.
Available from: <http://www.bournemouth.ac.uk/service-depts/lis/LIS_Pub/
harvardsys.html> [Accessed August 22,2002].

doğuş üni̇versi̇tesi̇ dergi̇si̇

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